SVQ in Construction Management level 5 - SQA · SVQ in Construction Management level 5 Award Code:...

SVQ in Construction Management level 5 Award Code:

Candidate Guidance and Portfolio Candidate name: Publication code: Z0277

The National Occupational Standards which form the basis of this award

were developed by ConstructionSkills SSC. This document is for candidate

use only and should not be used as a substitute for the National

Occupational Standards.

Published by the Scottish Qualifications Authority

The Optima Building, Ironmills Road,

58 Robertson Street, Dalkeith,

Glasgow G2 8DQ Midlothian EH22 1LE

© Scottish Qualifications Authority 2010

Candidate Guidance & Portfolio for the SVQ in Construction Management level 5 1 © SQA 2010

Index

Section Contents Page

1 General information about SVQs 3 — Introducing SVQs

— Who offers SVQs? — What is the structure of an SVQ? — An example of an SVQ Element — How are SVQs achieved? — How are SVQs assessed? — Who does what in SVQs? — What is evidence? — When can simulation be used? — Integration of assessment

2 How to compile your portfolio (including worked examples) — General information — Evidence Collection Process — Planning your portfolio — Starting your portfolio — Contents checklist — Collecting your evidence — Presenting your evidence — Referencing your evidence — Worked examples 1 – Index of evidence 2 – Unit progress record 3 – Element achievement record 4 – Personal statement 5 – Observation record 6 – Witness testimony 7 – Record of questions and candidate’s answers

11

3 The Units and the recording documents for your SVQ — The structure of the SVQ in Construction Management

level 5 — Unit Progress Record — Glossary of terms — Units

25


Section Contents Page

4 Blank recording forms 367 — Portfolio title page

— Personal profile — Contents checklist — Index of evidence — Personal statement — Observation record — Witness testimony — Record of questions and answers — Element Achievement Record


Section 1 — General information about SVQs Introducing SVQs

The qualification you are undertaking is a Scottish Vocational Qualification (SVQ).

SVQs are work-based qualifications which assess the skills and knowledge people have and need to

perform their job role effectively. The qualifications are designed using National Occupational

Standards.

For each industry sector there is a Sector Skills Council (SSC) which is made up of representatives

from the industry or profession and it is the SSC’s responsibility to develop the National Occupational

Standards.

These standards define what employees, or potential employees, must be able to do, how well and in

what circumstances to show they are competent in their work.

The Sector Skills Council for Construction Management level 5 is: ConstructionSkills.

Access to SVQs is open to all and you can be assessed either against a particular Unit(s) or against the

full SVQ. There are no entry requirements, no prescribed method of delivery, and no time constraints

for completion or age limits.

SVQs are available at five levels of achievement which reflect the various technical and supervisory

skills, knowledge, and experience which employees should have as they progress in their industry.

Who offers SVQs?

An organisation which offers SVQs is called a centre. This may be a school, college, university,

employer, training provider or a combination of these. The centre has responsibility for the quality of

the qualification and is required to work within an awarding body’s policies and guidelines.

The Scottish Qualifications Authority (SQA) is your awarding body for this SVQ. This means that we

are an organisation approved by government to design qualifications and awards. An awarding body

endorses candidates’ certificates so that an employer can be sure the qualification has gone through a

rigorous and effective assessment process. SQA provides qualifications throughout the world and was

formed by the merger of the Scottish Examinations Board (SEB) and the Scottish Vocational

Education Council (SCOTVEC).


What is the structure of an SVQ?

All SVQs have a common structure and consist of standards which can be broken down into various

parts:

Units and Elements Units define the broad functions carried out in your particular job and are

made up of a number of Elements. Each Element describes a specific

work activity which you have to perform and may relate to skills or to

the demonstration of knowledge and understanding.

Performance Criteria The level and quality of how you should carry out these activities is

determined by a number of statements called Performance Criteria.

Performance Criteria are used to judge your competence.

Range/Scope Statements A Range Statement tells you in what circumstances you must be able to

prove your competence and allows you to demonstrate that you can carry

out tasks in different circumstances. Items included in the range

statements must not be treated as optional. Range Statements are also

called scope in some National Occupational Standards.

Evidence Requirements The Evidence Requirements specify the amount and type of evidence

which you will need to provide to your assessor to show that you have

met the standards specified in the Performance Criteria and in all the

circumstances defined in the range statements.

Knowledge and

Understanding

The section on Knowledge and Understanding states what you must

know and understand and how this knowledge applies to your job.

If you are not yet clear about how we define standards — just remember that the standards have been

developed by experts within your industry or profession and that all candidates aiming for this

particular SVQ are being assessed against the same standards.

You will find an example of an SVQ Element overleaf.


An example of an SVQ Element

UNIT: (1) Working safely in an engineering environment

Element 1 Comply with statutory regulations and organisational requirements

Performance Criteria

You must ensure that you:

1 Describe your duties and obligations (as an individual) under the Health and

Safety at Work Act 1974.

2 Comply with Statutory Regulations at all times.

3 Comply with organisational safety policies and procedures at all times.

Range

This means you need to cover:

1 Relevant sections of the Health and Safety at Work Act 1974 (eg with regard

to your duties to work in a safe manner, not to interfere with remove or

misuse equipment provided for the safety of yourself and others, not to

endanger others by your acts or omissions).

Evidence Requirements

The things you must prove that you can do:

You need to demonstrate that you understand your duties and obligations

under both statutory regulations and organisational requirements and you

can do this by:

1 Giving an adequate explanation of the duties and responsibilities

of every individual as described in the Health and Safety at Work

Act 1974.

2 Ensuring that whilst carrying out your work and/or visiting other

areas of the working environment you are aware of the specific

safety requirements and regulations governing your activities.

Knowledge and Understanding

You must prove that you know and understand:

1 The roles and responsibilities of your self and others under the

Health and Safety at Work Act 1974.

2 The general regulations that apply to you being at work.

3 The specific regulations which govern your work activities.

This is the UNIT title — it describes a role and task.

PERFORMANCE CRITERIA set out the

standard of performance you need to

demonstrate consistently to claim competence in

a particular Element.

The RANGE defines the various circumstances in which you must

be able to prove you are competent.

You must cover all of the items in the Range Statement.

The KNOWLEDGE AND UNDERSTANDING Requirements state

what you must know and understand and how this knowledge applies

to your job.

This is the ELEMENT title. It describes part of the main role and

task.


How are SVQs achieved?

When you consistently meet the standards described in the elements and show that you have the required

skills and knowledge across the range, you can then claim that you are competent in each Unit. You can

claim certification for single Units or whole awards. Your centre will register your claim to competence

through the awarding body. The awarding body you are registered with for this SVQ is the Scottish

Qualifications Authority (SQA).

Scottish Qualifications Authority

The Optima Building

58 Robertson Street

Glasgow

G2 8DQ

The process of gaining an SVQ is flexible and depends on your needs. At the beginning of the process

your assessor will review your existing competence in relation to the standards and identify the most

suitable SVQ. The level you start at will depend on the type and breadth of your current job role together

with your past experience, skills and any relevant prior learning.

To achieve an SVQ, or a Unit of an SVQ, you must:

Demonstrate you meet the requirements of the Performance Criteria by collecting appropriate

evidence as specified by the Evidence Requirements. This evidence is assessed against the national

standards by a qualified assessor, who will be allocated to you by your centre. This will usually be

someone who knows you, such as a manager or supervisor.

Evidence may come from:

the accreditation of prior learning — where evidence relates to past experience or achievements

current practice — where evidence is generated from a current job role

a programme of development — where evidence comes from assessment opportunities built into

a learning/training programme whether at or away from the workplace

a combination of these

How are SVQs assessed? Assessment is based on what you can do and involves you, your assessor, an internal verifier and an

external verifier — see ‘Who does what in SVQs’ on the following page.

You will be asked to prove you are competent by providing evidence which shows:

you can perform all the specified tasks consistently to the required standard (Performance

Criteria)

you understand why you are doing things (Knowledge and Understanding)

you can apply the required skills in different ways (Range)

Assessment is flexible and you can be certificated for each Unit you successfully achieve, even if you do

not complete the full SVQ. There is no set period of time in which you need to complete a Unit.

However, you and your assessor should still set target dates for completing each Unit, otherwise your

qualification could go on forever. Be realistic though, as there are many factors such as your previous

experience, demands within your workplace and an availability of resources which will affect how

quickly you are able to achieve the qualification.


Who does what in SVQs?

A number of individuals and organisations have parts to play in SVQ assessment. Their roles have

been designed to guarantee fair, accurate and consistent assessment.

Who are they? What is their role?

Candidates The person who wants to achieve

the SVQ — in this case, you.

Need to show they can perform to

National Occupational Standards in

order to be awarded an SVQ or

Unit(s).

Assessors* An experienced person in the same

area of work as the candidate eg

supervisor.

Judge the evidence of a candidate’s

performance, knowledge and

understanding against the National

Occupational Standards.

Decide whether the candidate has

demonstrated competence. Provide

guidance and support to the

candidate. Assist with planning

assessments, giving feedback and

recording candidate progress.

Internal Verifiers* Individuals appointed by an

approved centre to ensure the

quality of assessment within the

centre.

Advise assessors and maintain the

quality of assessment in a centre.

Systematically sample assessments

to confirm the quality and

consistency of assessment decisions.

Approved Centres Organisations approved by

awarding bodies to coordinate

assessment arrangements for SVQs.

Manage assessment on a day to day

basis.

Must have effective assessment

practices and internal verification

procedures.

Must meet criteria laid down by

awarding bodies and be able to

provide sufficiently-competent

assessors and internal verifiers.

External Verifiers* Individuals appointed by the

awarding body to ensure that

standards are being applied

uniformly and consistently across

all centres offering the SVQ.

Check the quality and consistency of

assessments, both within and

between centres, by systematic

sampling.

Make regular visits to centres to

ensure they still meet the criteria to

deliver SVQs.

* Assessors and internal and external verifiers are required to have occupational expertise in the SVQs

which they are assessing/verifying. They must also have, or be working towards, an appropriate

qualification in assessment and verification.


What is evidence?

To claim competence for an SVQ Unit you need to gather evidence which shows you have met the

standards. It is important that your evidence is easily understood so that it can be checked against the

standards, by both your assessor, your centre and the awarding body.

Evidence can take many forms including:

direct observation of your performance by your assessor

products of your work

authenticated statement — witness testimony

personal statement

outcomes from questioning

outcomes from simulation

case studies

assignments or projects

Accreditation of Prior Learning (APL) — evidence from the past

It is important that your evidence is:

valid — it relates to the SVQ standard you are trying to prove

authentic — the evidence, or an identified part of it (eg a report) was produced by you

consistent — achieved on more than one occasion

current — usually not more than two years old

sufficient — covers all the performance and knowledge requirements laid down in the

standards

Your evidence may be collected through a range of sources, such as employment, voluntary work,

training programmes and interests/activities which you perform outside your work. It can also be

produced in various formats, eg your own reports; testimonies from colleagues, supervisors or

members of the public; projects; models; audio tapes, photographs; videos.

When you first begin your SVQ, you and your assessor should identify all the Units and Elements

where you can use integration of assessment. Further details about integration of assessment can be

found on page 10.

Demonstrating knowledge, understanding and skills

In order to meet the standards, you may also be required to prove knowledge and understanding. Each

Unit contains a list summarising the knowledge, understanding and skills a candidate must possess.

Evidence of how these have been achieved and applied could be included in the performance evidence

as one or all of the following:

descriptions of why a particular approach was used

personal reports about the learning process

reflective reports which include how a theory or principle was applied

assessment interviews

assessment tests

responses to questioning

These should be included in your portfolio.


How will my assessor check I have the knowledge and understanding listed in the standards? For some Units, it will be clear to your assessor that you have the required knowledge and

understanding from how you carry out your work. This is often referred to as knowledge and

understanding apparent from performance. There will be other occasions though, when your assessor

will be unsure if you know why, for example, it is important to give information to clients in certain

situations. This could be because your assessor has not had the opportunity to observe all the

Performance Criteria and Range during assessment. In these situations, your assessor may wish to

assess your knowledge and understanding by asking you some questions. These questions can be

given orally or in writing, but will be recorded in your portfolio as evidence.

Your assessor could also check you have the required level of knowledge and understanding by

asking you to produce personal statements or to complete a project or assignment.

What if I have previous experience and knowledge and understanding from work and other qualifications?

If you have previous work experience, skills, and knowledge and understanding which you feel is

relevant to your SVQ, you should tell your assessor about it. Your assessor may ask you for more

proof in the form of letters from previous employers/training providers or details about any courses

you have completed.

For example, you may have achieved an HNC in a relevant subject in which case your assessor may

feel that you already have some of the knowledge and understanding required for the SVQ.

The process of matching your previous experience and learning is often referred to as the

Accreditation of Prior Learning (APL). The purpose of this process is to try and give you some credit

towards your SVQ for things you can already do to the national standard. Your assessor judges the

evidence available and matches it against the requirements of the SVQ. This means that your assessor

should not have to assess you for these things all over again.

However, the success of this process depends on you telling your assessor what previous work

experience or knowledge and understanding you have and how you think it is relevant to your SVQ.

The more information you can supply to support your claims, the easier it should be to convince your

assessor that you are competent.

When can simulation be used?

Throughout your SVQ, the emphasis is on you being able to carry out real work activities so

assessment will normally be carried out in the workplace itself.

There may be times, however, when it might not be appropriate for you to be assessed while you are

working. For example your SVQ might require you to carry out emergency or contingency procedures

(for safety or confidentiality reasons) or your job role may not cover all aspects of the qualification. In

such instances, when you have no other means of generating evidence, simulation might be

appropriate.

Simulation is any structured exercise involving a specific task which reproduces real-life situations.

Care must be taken though to ensure that the conditions in which you are assessed exactly mirror the

work environment ie it is a realistic working environment.

You and your assessor should check the assessment strategy for your SVQ carefully to find out the

Sector Skills Council (SSC’s) view of what constitutes a realistic working environment. Some SSCs

stipulate the specific elements which are suitable for this approach.


Integration of assessment It is not necessary for you to have each Element assessed separately — doing so could result in

assessment which takes too long and places too great a burden on you and your assessor.

There will be instances when you will be able to use one piece of evidence to prove your competence

across different Elements or Performance Criteria. You may even find that evidence is relevant for

different Units — this is called integration of assessment.

When you first begin your SVQ, you and your assessor will spend time looking at the standards,

planning how much time you are both able to devote to the qualification and drawing up an action

plan.

At this stage, you should identify any activities which relate to more than one Unit or Outcome and

arrange for the best way to collect a single piece of evidence which satisfactorily covers all the

Performance Criteria.

If you are going to integrate assessments, make sure that the evidence is cross-referenced to the

relevant Units. Details of how to cross reference your evidence can be found in Section 2 ‘How to

compile your portfolio’.


Section 2 — How to compile your portfolio (including worked examples) General information

A portfolio, like a log book, is a way of recording evidence of your achievements. It is a collection of

different items of evidence which indicates that you have the required skills, knowledge and

understanding to support your claim to a qualification.

The production of a well-organised, clearly labelled portfolio which relates each piece of evidence to

the relevant outcomes and Performance Criteria requires a careful methodical approach. When your

assessor looks through your portfolio, they will find the task of making judgements about your

competence much easier if the information in it is presented in a logical sequence.

You will need to present your evidence in a format that is easy to read and in which materials can be

added or taken away. This section gives suggestions on how to lay out and present your evidence and

includes worked examples. There are also forms and matrices which will assist you to chart your

progress through the award.

You do not have to lay out your evidence in the way suggested but you may find it helpful to do so.

Each portfolio will be different in content but all should include information about you (the

candidate), the organisation where you are undertaking your qualification, the assessor and so on.

Evidence Collection Process

Assessment Plan

Collect Evidence

Present evidence

Reference acceptable

evidence

Record evidence in element

achievement record

Store evidence in portfolio

You and your assessor

You and your assessor if

observation/questioning is

required

You and your assessor

Assessor will judge evidence

and give you feedback on

which evidence meets the

standards

You

You


Planning your portfolio

Start by carefully reading through the standards and, together with your assessor, decide which Units

you might like to work on first. You do not have to do the Units in order. There may be some Units

that relate to tasks which you carry out on a regular basis, therefore making it easier to collect

evidence right away. Alternatively, there may be activities in other Units which you only undertake

now and again, these can be left until the opportunity arises for you to collect evidence.

Before you start looking for different kinds of evidence and deciding if they should be included in

your portfolio, you will find it helpful to plan how you will carry out the tasks and how long they are

going to take.

The plan is usually referred to as an ‘assessment plan’. It should be produced in discussion with your

assessor and will set out the different stages in developing your portfolio. You will probably want to

produce a plan for each Unit.

It is unlikely that you will be able to complete all of the Units straight away and you should therefore

think about starting with those Units where you have a lot of experience and in which you work well.

You should also remember to identify any opportunities for integration of assessment.

We have provided you with a ‘Unit progress record’ — see Example 2. Each time you complete a

Unit, your assessor should sign and date the relevant section on the form. At this stage, it might be a

good idea to check that all your evidence and recording documents have been completed correctly and

can easily be located. You can then circle the reference number of that Unit in the checkboxes at the

top of the form so that you can see at a glance what stage you are at in your SVQ.


Starting your portfolio Make sure that you clearly label your portfolio (or disk if you are recording your evidence

electronically) with your name together with the title and level of the award.

Your portfolio will need a title page and a contents page. You should also complete a Personal

Profile which records details about yourself and your job as well as providing information about your

employer, training provider or college. Blank samples of these forms are provided in Section 4.

We recommend that you compile your portfolio in the following order:

Personal Profile

Glossary of terms

Index of Evidence

Pieces of evidence

Contents Checklist

Title Page

Unit Progress Record

Standards

Completed Element

Achievement Records


Contents checklist

You might also find it useful to complete the following checklist as you work your way through your

portfolio. This will help you to see if you have included all the relevant items. Once you have

completed your portfolio, you will be able to use this checklist again as a contents page, by inserting

the relevant page or section numbers in the right hand column.

Completed? Page/Section

number

Title page for the portfolio

Personal profile

your own personal details

a brief CV or career profile

description of your job

information about your employer/training provider/

college

Unit Assessment Plans

Unit progress record

Completed Element Achievement Records for each Unit

signed by yourself, your assessor and the internal

verifier (where relevant)

Evidence reference numbers included

Index of evidence (with cross-referencing information

completed)

Evidence (with reference numbers)

observation records

details of witnesses (witness testimony sheets)

personal statements

products of performance


Collecting your evidence All of the evidence which you collect and present for assessment must be relevant to your SVQ. Your

assessor will help you choose which pieces of evidence you should include.

We have provided blank forms in Section 4 of this document, which you can photocopy to help you

record and present your evidence. Although we have provided you with sample forms, your centre

may have their own recording documents which they would prefer you to use.

Some of these forms eg observation records and the record of questions and answers, will be

completed by your assessor. Other forms (witness testimonies) will be used by people other than

your assessor to testify that they have observed you doing your job, and there is one for you to

complete called a personal statement.

Explanations are given below about how and when these forms should be used.

Observation record (Example 5)

The observation record is used by your assessor to record what tasks you have performed and to what

standard. There is also a section for your assessor to note which other Units or Outcomes are covered

by this evidence (‘integration of assessment’).

The assessor will discuss with you which Performance Criteria and Range you have successfully

achieved and give you feedback. This form should then be given a reference number and included in

your portfolio as part of your evidence.

Witness testimony (Example 6)

There may be occasions when your assessor is not available to observe you carrying out certain

aspects of your job. In such instances, it may be appropriate for another person to comment about

your performance by completing a statement called a ‘witness testimony’.

Witness testimony should only be used as supporting evidence and should:

be provided by a person, not related to you, who is in a position to make a valid comment about

your performance eg supervisor, line manager or possibly a client/customer

contain comments which specifically relate your performance to the standards

be authenticated by the inclusion of the witness’s signature, role, address, telephone number

and the date

It is unlikely that your assessor would make an assessment decision based on witness testimony alone.

They would normally supplement this type of evidence with questioning.

Record of questions and candidate’s answers (Example 7)

This form is used to record any questions which your assessor may ask, to establish whether you have

the required level of Knowledge and Understanding associated with each Unit. There is also space on

the form for your answers to be noted.


Personal statement (Example 4)

There will be times when you need to put a piece of your evidence in context for your assessor so that

they can decide if it is relevant to your SVQ. You can complete personal statements to help you do

this — these can relate either to the pieces of evidence or to each Outcome or Unit.

For example, you may refer to paperwork which is often used in your organisation to help you pass on

information to a colleague. It may not be clear to an assessor why you are communicating to your

colleague in this way and a brief explanation of the paperwork and why it is relevant to a particular

part of your SVQ may be required.

A personal statement might also be used to record your experience of something, such as, how you

handled a specific situation. This can be documented in your personal statement and should be a

description of what you did, how you did it and why you did it. It will also allow you to include the

people who were present and either assisted you or witnessed your actions. This, in turn, might

identify who you should approach for ‘witness testimony’. In your personal statement you could also

refer to product evidence that you have produced (eg reports, notes, completed forms), these can also

be included as evidence in your portfolio.

The personal statement can be a piece of evidence in itself and should therefore be included in your

portfolio.

Presenting your evidence

It is important to present all of your evidence in a clear, consistent and legible manner. Your assessor

will then find it much easier to make appropriate judgements about the quality, sufficiency and

currency of the materials you are putting forward for consideration.

It is not necessary to produce all of your evidence in typewritten format — some hand-written pieces

of evidence, such as notes, will be perfectly acceptable.

There may also be items of evidence which you cannot physically include in your portfolio. This

might be for confidentiality reasons or it could be that something which you have produced as part of

your day-to-day work is normally kept in a filing cabinet or stored electronically in a PC.

In compiling your portfolio, we suggest that anything you produce as part of your day-to-day work is

kept in its normal location, but those pieces of evidence which have been produced specifically for

your SVQ, eg witness testimony statements or personal statements, are filed in your portfolio.

However, assessors and verifiers should be able to locate and access your evidence at all times. It is,

therefore, very important that you clearly reference every item of evidence.

Referencing your evidence

Your assessor, as well as the internal and external verifiers, will need to find their way around your

portfolio, so you should give each piece of evidence a number.

Remember, that where you have used ‘integration of assessment’, you need to give details of all the

Units and Elements which are linked to a specific piece of evidence. The links should be noted on the

pieces of evidence themselves as well as on the index of evidence (cross-referencing).


How to complete the Index of evidence (Example 1)

You should complete an index of evidence sheet and file it immediately before the actual pieces of

evidence in your portfolio.

The index of evidence should be completed by:

entering the evidence number in the first column

giving a brief description of each piece of evidence in the second column

explaining where the evidence can be found in the third column

You must make sure that the information contained in the evidence index is accurate when you give

your portfolio to your assessor, particularly in relation to where the evidence can be located.

Completing the Element Achievement Records (Example 3) There is an Element Achievement Record for every Element within this portfolio. These records have

been designed to allow you to record the evidence you have gathered for each Element. Each record

has boxes across it which represents the Performance Criteria, Range Statement, Evidence

Requirements and Knowledge and Understanding statement, these will differ from Element to

Element so it is important to make sure you are using the right one. Whilst collecting your evidence

you should use these grids to display the Performance Criteria, Range, Knowledge and Understanding

and Evidence Requirement that piece of evidence relates to. In the first box write the evidence index

number you have given to that piece of evidence. In the second box give a brief description of the

evidence, then tick against the relevant Performance Criteria, Range, Evidence Requirements and

Knowledge and Understanding.

Worked examples To give you a clearer picture of how to compile your portfolio, you will find worked examples of the

various forms over the next few pages. You should ask your assessor for further advice and support if

you are still unsure about how to use the forms and who should complete them.


Index of evidence (Example 1)

SVQ title and level: Using IT at level 3

Evidence

number Description of evidence

Included

in portfolio

(Yes/No)

If no,

state location

Sampled by

the IV

(initials and

date)

1 Action plan identifying customer requirements Yes

2 Personal Statement Yes

3 Witness Testimony Yes

4 Record of Questions and Answers Yes

5 Log of configuration details and errors Yes

6 Observation Checklist Yes

7 Procedure for shutting down system Yes

8 Company media storage policy

No. Can be

found with

General

Manager


Unit progress record (Example 2) Qualification and level: Using IT at level 3

Candidate: Anne Thomas

To achieve the whole qualification, you must prove competence in mandatory Units and optional

Units.

Unit Checklist — circle the reference number of each Unit as you complete it.

Mandatory 206 301 302 303 308

Optional 305 306 311 312 326 327

Mandatory Units

Unit Number

Title

Assessor

Date

206 Ensure your own actions reduce risks to H&S

301 Select and enable IT for use

P.Jones 28/4/2000

302 Maintain the Software Environment

P.Jones 28/4/2000

303 Develop and maintain the effectiveness of the IT

working environment P.Jones 8/4/2000

308 Develop your own effectiveness and

professionalism

Optional Units 305

Design and produce documents using WP

software

306

Design and produce spreadsheets

311

Design and use databases

312

Design & produce documents using graphics

326

Design & produce presentations using IT

327

Control the use of electronic communication

This section of the form is for your

assessor to sign each time you

successfully achieve a Unit.

Circle the reference numbers as

you complete each Unit. You

can then easily see what stage

you have reached in your SVQ.


Element achievement record (Example 3)

Unit title: Select & enable IT for use

Element: 301.1 Select & configure equipment for use

Evidence

Index No

Description of Evidence Performance Criteria

Range Knowledge &

Understanding a b c d e f g h 1 2 3 K1 K2 K3 K4 K5

1 Action Plan

2 Personal Statement

3 Copy of Legislation

5 Record of Questions & Answers

6 Log of Configuration Details

7

8

23

Candidate: Assessor: IV:

Date: Date: Date:

These

numbers

relate to your

Evidence

Index and

will allow

your assessor

to find your

evidence

easily

Candidates should enter

which areas of knowledge

and understanding that piece

of evidence covers.

Give a brief description of the evidence

you are offering for assessment against

each Performance Criteria, range and

piece of knowledge and understanding

As you collect your evidence for assessment you

should tick the relevant boxes. There is a box

which represents each Performance Criteria and

Range in the element


Personal statement (Example 4)

Date Evidence

index

number

Details of statement Links to other

evidence

(enter numbers)

Units, elements,

pcs, and range

covered

4/4/00

1

Statement that I know and understand

customer requirements. Names of customer

and software and hardware requirements in

portfolio.

Statements that I understand how to set up,

equipment, configure software that met

customer requirements. Details of equipment

and software with dates are listed in

portfolio.

1 301.1.a,b,e

Range 1

Candidate signature: Anne Thomas

Date: 2/4/2000


Observation Record (Example 5)

Unit/Element(s): (301) Select and Enable IT for Use

Candidate: Anne Thomas Date of observation: 28/4/2000

Evidence index number: 8

Skills/activities observed: PCs and range covered:

Saving and storing files

Element 301.3

PCs: a-f

Range: materials (consumables, removable

storage media), regulations (current legislation,

manufacturer’s instructions, organisational

procedures), system (application software,

hardware, system software).

Knowledge and understanding apparent from this observation:

Candidate can save and organise files. She can delete unwanted files and can shut down system according to organisation’s procedures and manufacturer’s instructions.

Other Units/elements to which this evidence may contribute:

302.1.b,c Range 1,3

Assessor comments and feedback to candidate:

I can confirm the candidate’s performance was satisfactory.

Assessor signature: Peter Jones Date: 28/4/2000

Candidate signature: Anne Thomas Date: 28/4/2000


Witness testimony (Example 6)

SVQ title and level: Using IT level 3

Candidate name: Anne Thomas

Evidence index no: 4

Where applicable, evidence no. to which this testimony relates:

Element(s): 301.2 Range: 1

Date of evidence: 8/4/2000

Witness name: Ian Cummings

Designation/relationship to

candidate:

Details of testimony:

I can attest that I observed Anne Thomas following company and national regulations

in the use of software. She understands and has knowledge of these regulations and I

observed her following them when selecting and configuring software.

I can confirm the candidate’s evidence is authentic and accurate.

Witness signature: Ian Cummings

Name: Ian Cummings

Date: 8/4/2000

Please tick the appropriate box:

A1/A2 or D32/D33 Award

Familiar with the SVQ standards to which the candidate is working

Line manager


Record of questions and candidate’s answers (Example 7)

Unit: 301 Select & enable IT for use Element(s): 1

Evidence index number: 5

Circumstances of assessment:

As part of the staff induction scheme IT staff are regularly interviewed and asked

about their knowledge and skills. Anne Thomas was interviewed on the 21 March 2000

and below is a summary of the interview where it relates to her knowledge of

resources and problem solving.

List of questions and candidate’s responses:

Q: If a member of staff asked you for a particular piece of equipment, would procedures would

you follow?

A: I would ensure that a hardware requisition form has been filled out with the rational for

needing such equipment, countersigned by their line and general managers. If approved, next

step would be to ask the member of staff if they need specific training. Pc 301.1.a,b,e Range

1,2,3

Q: You discover that a member of staff has installed a piece of software on their workstation PC.

What do you do?

A: If they installed it themselves then this is a serious breach of company regulations and I would

inform the IT manager. I would then remove the software. Pc 301.1.c, Range 2,3

Assessor’s signature: Davinder Singh Date: 21/3/2000

Candidate’s signature: Anne Thomas Date: 21/3/2000


Section 3 — The Units and recording documents for your SVQ Unit Progress Record

Qualification and level: Construction Management: level 5

Candidate:

To achieve the whole qualification, you must prove competence in five mandatory Units plus five

optional Units.

Please note the table below shows the SSC identification codes listed alongside the corresponding

SQA Unit numbers. It is important that the SQA Unit numbers are used in all your recording

documentation and when your results are communicated to SQA. SSC identification codes are not

valid in these instances.

Unit Checklist — circle the reference number of each Unit as you complete it.

Mandatory C01 C02 C03 C04 C05

Optional O06 O07 O08 O09 O10 011 O12 013

O14 O15 O16

Mandatory Units (all Units should be completed)

SQA

Unit

Number

SSC/SSB

Unit

Number

Title

Assessor

Internal

Verifier

Date

F081 04 C01

Manage Health, Safety,

Welfare and Environmental

Factors

F086 04 C02

Manage Project Risks,

Opportunities, Systems and

Teams

F07P 04 C03 Control Projects

F087 04 C04 Manage Teams and

Individuals

F07S 04 C05

Enhance Working

Relationships and Develop

Self

Optional Units (candidates must complete five optional Units)

F07X 04 O06 Manage Factors Affecting

Project Feasibility

F084 04 O07 Manage Project Design

F07T 04 O08 Establish and Implement

Project Partnering


Optional Units (cont)

SQA

Unit

Number

SSC/SSB

Unit

Number

Title

Assessor

Internal

Verifier

Date

F082 04 O09 Manage Invited Tenders

F07V 04 O10 Manage and Submit Tenders

F08B 04 O11 Prepare and Agree Contracts

F080 04 O12 Manage Financial Expenditure

and Recovery

F07W 04 O13 Manage Disputes

F085 04 O14 Manage Project Handover and

Evaluate Feedback

F083 04 O15 Manage Organisational

Development

F07Y 04 O16 Manage Finance for the

Business

Candidate Guidance & Portfolio for the SVQ in Construction Site Management level 5 27 © SQA 2010

Glossary of terms

Advisor A person who carries out, either singly or in combination, the functions of

advising a candidate, collecting evidence of his or her competence on behalf

of the assessor and authenticating the work candidates have undertaken. A

mentor might also provide witness testimony.

Assessment The process of generating and collecting evidence of a candidate’s

performance and judging that evidence against defined criteria.

Assessor The person designated in a centre to be responsible for collecting evidence

of candidates’ competence, judging it and recording achievement.

Authentication The process by which an advisor or assessor confirms that an assessment

has been undertaken by a candidate and that all regulations governing the

assessment have been observed.

Candidate The person enrolling for an SQA qualification.

Centre The college, training organisation or workplace where SQA qualifications

are delivered and assessed.

Element of Statements which define the products of learning. The statements describe

competence the activities that the candidate needs to perform in order to achieve the

Unit. They contain Performance Criteria and sometimes statements on range

and evidence. (see Outcome)

Evidence Materials the candidate has to provide as proof of his or her competence

against specified Performance Criteria.

Evidence Specify the evidence that must be gathered to show that the candidate has

requirements met the standards laid down in the Performance Criteria.

External verifier The person appointed by the SQA who is responsible for the quality

assurance of a centre’s provision. An external verifier is often appointed on

a subject area basis or for cognate groups of Units.

Instrument A means of generating evidence of the candidate’s performance.

of assessment

Internal verifier The person appointed from within the centre who ensures that assessors

apply the standards uniformly and consistently.

Observation A means of assessment in which the candidate is observed carrying out tasks

that reflect the Performance Criteria given in Outcomes.

Outcome Statement which defines the products of learning. They describe the

activities the candidate has to perform to achieve the Unit, and contain

Performance Criteria, and, sometimes, statements on range and evidence

(see Elements of Competence).

Performance Statements which describe the standard to which candidates must perform

Criteria the activities which are stated in the Outcome.


Portfolio A compilation of evidence which can form the basis for assessment. The

portfolio is commonly used in SVQ awards and in alternative routes to

assessment such as APL and credit transfer.

Product evaluation A means of assessment which enables the quality of a product produced by

the candidate, rather than the process of producing it, to be evaluated.

Range/Scope A statement in the Unit which specifies the different contexts in which the

activities described in the Outcome have to be demonstrated. Where they

appear, Range/Scope statements are mandatory.


UNIT CCM5/C02 (F086 04) Manage Project Risks, Opportunities, Systems and Teams

This Unit has the following Elements:

CCM5/C02.1 Assess and evaluate risks and opportunities of projects

CCM5/C02.2 Select methods and procedures to manage project risks and opportunities

CCM5/C02.3 Establish and maintain project organisation and communication systems

CCM5/C02.4 Select and form work teams

CCM5/C02.5 Chair meetings

Unit Summary

This Core Unit covers the candidate’s key responsibilities in assessing and managing the risks and opportunities of projects. (Risks in this Unit do not relate

primarily to health, safety and welfare and environment, which are covered in Unit C01, but to the key project parameters of cost, quality and time.) The Unit

also covers responsibility for your organisation and communication systems.

Element 2.1 is about identifying and evaluating the risks and opportunities inherent in potential projects.

Element 2.2 is about deciding what methods and procedures must be used to manage the project risks and opportunities, and also what resources the project

activities will need.

Element 2.3 deals with running the project organisation and ensuring good communications. The ‘organisation’ could be the candidate’s office/department, or

an on-site project.

Element 2.4 covers choosing the project work teams. This could apply to departmental personnel, or to site teams.

Element 2.5 is about chairing meetings effectively; controlling people, achieving objectives, and disseminating information.



Element C02.1 Assess and evaluate risks and opportunities of projects


This involves:

(a) identifying and reviewing project information relating to risks

and opportunities of potential projects

(b) identifying risks and opportunities arising from potential project

processes

(c) obtaining further information needed to make judgements

(d) identifying the significance of the risks and opportunities of

potential projects

(e) evaluating the significant risks and opportunities of potential

projects to decide whether to proceed with the project

(f) checking and confirming that risk management processes are

undertaken

Range

1 Project information:

(a) environmental

(b) statutory and legal requirements

(c) client, user and community requirements

(d) construction and technical requirements

(e) site constraints

(f) finance, procurement and contract

(g) quality

(h) cost

(i) timescale

2 Risks:

(a) health, safety and welfare

(b) environmental impact

(c) management and workforce experience

(d) complexity and scope

(e) consents

(f) costs

(g) impact on business

(h) technical considerations

(i) timescale

(j) contract form

(k) availability of resources




Range (cont)

3 Opportunities:

(a) better buying

(b) timescale reduction

(c) specification change

(d) business benefit

(e) profitability

4 Risk management:

(a) risk identification

(b) risk assessment

(c) prevention, reduction and protection

(d) risk register

Evidence Requirements — Performance and Process

Taken as a whole, the evidence must show that the candidate consistently

meets all the Performance Criteria, across the Ranges for the Element.

References in brackets after items in the evidence specification refer to the

corresponding Performance Criteria, eg (a), and Range, eg [1], to which

they apply.

Product Evidence

There must be workplace evidence against each performance criterion.

Where the workplace evidence does not cover a whole Range, knowledge

evidence must be provided to cover the remaining items of Range of each

relevant performance criterion.

The candidate must produce documentary evidence from the workplace

covering the following items that are considered to be common and

key/critical to demonstrate competence:

1 Record(s) of potential risks and opportunities identified from project

information. (a,b,c) [1,2,3]

2 Information on risks and opportunities relating to potential projects.

(a,d) [all]

3 Record(s) of evaluation of risks and opportunities. (f) [2,3]

4 Record(s) of risk management processes undertaken. (f) (4)

Simulations are not considered to be acceptable for producing evidence for

this Element.




Evidence Requirements — Performance and Process (cont)

Process Evidence

None applicable.

Evidence Requirements — Knowledge and Understanding

Established from questioning the candidate or from industry recognised

education and training course assessment which is matched to the Element.

A candidate’s knowledge and understanding can also be demonstrated

through presented performance evidence.

1 What do you identify as project information relating to potential

risks and opportunities? (understanding) (b) [1,2,3]

2 How and why do you review project information relating to

potential risks and opportunities? (analysis) (b) [1,2,3]

3 What do you identify as risks and opportunities arising from

potential projects? (understanding) (c) [2,3]

4 How and why do you identify the significance of the project risks and

opportunities? (synthesis) (e) [2,3]

5 How and why do you evaluate the significant risks and

opportunities? (evaluation) (e) [2,3]

6 How do you check and confirm that risk management processes are

undertaken? (application) (f) [4]





No Description of Evidence a b c d e f




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 1h 1i 2a 2b 2c 2d 2e 2f 2g 2h 2i 2j 2k 3a 3b 3c 3d 3e 4a 4b 4c 4d




Evidence Comments: Where knowledge evidence is used to cover items of Range not included in the workplace evidence, this should be specified here.

Reference should be made to the relevant expert witness statements and assessor Q&A reports in the portfolio.

Notes/Comments

The candidate has satisfied the Assessor and Internal Verifier that the performance evidence has been met.

Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C02.2 Select methods and procedures to manage project risks and opportunities


This involves:

(a) reviewing and evaluating significant risks and opportunities

(b) selecting the most effective methods to manage significant risks

and opportunities

(c) selecting the management methods and procedures that comply

with all relevant regulations and guidelines

(d) identifying the resources that are necessary to implement the

management methods

(e) identifying the activities required to implement the management

methods (f) specifying clearly the procedures for implementing the

management methods

(g) implementing and maintaining the management methods and

procedures and modifying them to meet changed circumstances

Range

1 Risks:

(a) environmental impact

(b) management and workforce experience

(c) complexity and scope

(d) consents

(e) costs

(f) impact on business

(g) technical considerations

(h) timescale

(i) contract form

(j) availability of resources

2 Opportunities:

(a) better purchasing/resource procurement

(b) timescale reduction

(c) specification change

(d) business benefit

(e) profitability

3 Methods:

(a) minimise/eliminate risks

(b) maximise opportunities




Range (cont)

4 Resources:

(a) people

(b) plant and equipment

(c) materials and components

(d) finance

(e) time

(f) specialist services

(g) utility services

(h) information






they apply.

Product Evidence








1 Record(s) of reviews and evaluations of significant risks and

opportunities. (a) [1,2]

2 Record(s) of methods, procedures, resources and activities used to

implement risk and opportunity management methods. (b,c,d,e,f,g)

[all]


this Element.





Process Evidence

None applicable.






1 How do you review and evaluation significant risks and

opportunities? (evluation) (a) [1,2]

2 What do you identify as the resources that are necessary to

implement the management methods? (understanding) (d) [1,2,3,4]

3 What do you identify as the activities required to implement the

management methods? (understanding) (e) [1,2,3]

4 How do you implement, maintain and modify the management

methods and procedures? (application) (g) [1,2,3]

5 How do you select the most effective methods to manage significant

risks and opportunities? (evaluation) (b) [1,2,3]

6 How do you select the management methods and procedures that

comply with all relevant regulations and guidelines? (evaluation) (c)

[1,2,3]

7 How do you specify the procedures for implementing the

management methods? (evaluation) (f) [1,2,3]





No Description of Evidence a b c d e f g




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 2a 2b 2c 2d 2e 3a 3b 4a 4b 4c 4d 4e 4f 4g 4h






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C02.3 Establish and maintain project organisation and communication systems


This involves:

(a) identifying the organisational and communication needs for the

project

(b) developing and introducing systems which are compatible with

those used by the client and supply chain and which enable clear

and effective management, and administrative and operational

controls

(c) producing accurate and unambiguous information about

people’s roles and responsibilities, the project and the

organisational structure, and circulating the information to people

and organisations who have an interest (d) implementing methods of communicating, reporting,

recording and retrieving information which are appropriate to

the needs of the project and monitoring the methods regularly for

effectiveness

(e) identifying and investigating breakdowns in communication, and

taking action to restore effective communication

(f) setting up systems for recording and providing feedback on the

ways in which resources are allocated and used

Range

1 Organisational and communication needs:

(a) site management

(b) head office interface

(c) contract administration

(d) health, safety and welfare

(e) team interfaces

(f) integration of data

2 Information about people’s roles and responsibilities:

(a) individual job descriptions

(b) organisation charts

(c) contractual arrangements

(d) team

3 People and organisations who have an interest:

(a) clients

(b) consultants

(c) contractors

(d) sub-contractors

(e) third parties

(f) utilities

(g) emergency services

(h) people on site

(i) statutory authorities




Range (cont)

4 Methods of communicating, reporting, recording and

retrieving: (a) oral

(b) written

(c) graphic

(d) electronic

5 Resources:

(a) people



(d) sub-contractors

(e) project information






they apply.

Product Evidence








1 Record(s) of project organisation and communication systems which

have been developed and introduced. (a,b) [1]

2 Information about people’s roles and responsibilities and the

organisational structure which has been circulated. (c) [2,3]

3 Record(s) of communicating, reporting, recording and retrieving

information which include investigations into breakdowns in

communication and the actions taken to resolve them. (d,e) [4]

4 System(s) for recording and providing feedback on the allocation and

use of resources. (f) [5]





Simulations are not considered to be acceptable for producing evidence

for this Element.

Process Evidence

None applicable.






1 What do you identify as the organisational and communication

needs for the project? (understanding) (a) [1]

2 How do you develop and introduce systems which are compatible with

those used by the client and supply chain and which enable clear and

effective management, and administrative and operational controls?

(synthesis) (b) [1]

3 How do you produce and circulate to people and organisations who

have an interest accurate and unambiguous information about

people’s roles and responsibilities, the project and the organisational

structure? (application) (c) [2,3]

4 What do you identify as breakdowns in communication?

(understanding) (e) [1,4]

5 How do you take action to restore effective communication?

(application) (e) [1,4]

6 How do you monitor the methods of communicating, reporting,

recording and retrieving information introduced? (analysis) (d) [4]

7 How do you investigate breakdowns in communication? (analysis) (e)

[1,4]

8 How do you implement methods of communicating, reporting,

recording and retrieving information which are appropriate to the

needs of the project? (synthesis) (d) [4]

9 How do you set up systems for recording and providing feedback on

the ways in which resources are allocated and used? (synthesis) (f) [5]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 3a 3b 3c 3d 3e 3f 3g 3h 3i 4a 4b 4c 4d 5a 5b 5c 5d 5e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C02.4 Select and form work teams


This involves:

(a) identifying the people and services that are needed and where

they can be obtained, and selecting those that meet agreed

timescales and budget limits

(b) identifying any significant factors which will affect the number,

type and availability of people and services

(c) evaluating the quality and potential reliability of people and

services and circulating the results to people who have an interest

(d) negotiating and agreeing proposals for team membership which

are likely to produce an effective team

(e) following the rules and formalities for obtaining people and

services (f) negotiating contracts and agreements in a way which preserves

goodwill and trust

Range

1 People and services:

(a) management

(b) technical staff

(c) sub-contractors

2 Where (people) can be obtained:

(a) internal

(b) external to the organisation

3 Significant factors:

(a) location

(b) cost

(c) time

(d) skills, knowledge and experience required and available

(e) training and development requirements

(f) equal opportunities and disability rights

4 Rules and formalities:

(a) contractual

(b) statutory

(c) recognised industry processes

(d) organisational processes

(e) certification of competence





Taken as a whole, the evidence must show that the candidate

consistently meets all the Performance Criteria, across the Ranges for

the Element.

References in brackets after items in the evidence specification refer to

the corresponding Performance Criteria, eg (a), and Range, eg [1], to

which they apply.

Product Evidence


Where the workplace evidence does not cover a whole Range,

knowledge evidence must be provided to cover the remaining items of

Range of each relevant performance criterion.




1 Record(s) of proposal(s) for people and services which include

where they can be obtained, timescales, budget limits, significant

factors and effectiveness. (a,b,c,d) [1,2,3,4]

2 Contract(s) and terms of appointment. (e,f) [4]

Simulations are not considered to be acceptable for producing

evidence for this Element.


Process Evidence

None applicable.






education and training course assessment which is matched to the

Element. A candidate’s knowledge and understanding can also be

demonstrated through presented performance evidence.

1 How and why do you select people and services that meet agreed

timescales and budget limits? (evaluation) (a) [1,2]

2 What do you identify as the people and services that are needed

and where they can be obtained? (understanding) (a) [1,2]

3 How and why do you identify significant factors which will

affect the number, type and availability of people and services?

(synthesis) (b) [1,3]

4 How do you circulate the results of evaluating the quality and

potential reliability of people and services to people who have an

interest? (application) (c) [1,3]

5 How and why do you evaluate the quality and potential reliability

of people and services? (evaluation) (c) [1,3]

6 How and why do you negotiate proposals for team membership?

(synthesis) (d) [4]

7 How and why do you agree proposals for team membership?

(evaluation) (d) [4]

8 How do you follow the rules and formalities for obtaining

people and services? (application) (e) [1,4]

9 How and why do you negotiate contracts and agreements?

(synthesis) (f) [4]




Range

No Description of Evidence 1a 1b 1c 2a 2b 3a 3b 3c 3d 3e 3f 4a 4b 4c 4d 4e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C02.5 Chair meetings


This involves:

(a) giving people, appropriate to the objective of the meeting,

sufficient notice and information to allow them to contribute

effectively

(b) ensuring that everyone attending the meeting agrees the objective

of the meeting at the start

(c) allocating discussion time to topics consistently with their

importance, urgency and complexity

(d) maintaining a style of leadership which helps those attending the

meeting to make useful contributions

(e) discouraging unhelpful arguments and digressions

(f) presenting information and providing summaries clearly at

appropriate points during the meeting

(g) ensuring that meetings achieve their objectives within the

allocated time

(h) ensuring that agreed decisions and recommendations fall within

the group’s authority

(i) giving clear, accurate and concise information about decisions

and recommendations to those who need it

(j) seeking feedback from those attending and using this to improve

the effectiveness of future meetings

Range

1 Objective:

(a) information giving

(b) consultation

(c) decision making

2 Meeting:

(a) involving people from within your organisation

(b) involving people outside your organisation





Product Evidence

1 You must also show evidence of leading both types of meeting.

(a,b,d,f,g,j) [2]

2 You must prove that you chair meetings to the National Standard

of competence. (all) [all]

3 You must show evidence of leading meetings with all types of

objective. (a,b,g) [1]

Process Evidence

1 You must also show evidence of leading both types of meeting.

(a,b,d,f,g,j) [2]

2 You must prove that you chair meetings to the National Standard

of competence. (all) [all]

3 You must show evidence of leading meetings with all types of

objective. (a,b,g) [1]

Your evidence must be the result of real work activities undertaken by

yourself. Evidence from simulated activities is not acceptable for this

Element.


1 Communication:

(a) how to identify unhelpful arguments and digressions, and

strategies which may be used to discourage these

(b) how to present information during meetings

(c) how to get and use feedback from others

(d) leadership styles

(e) styles of leadership which can be used to run meetings and how

to choose a style according the nature of the meeting

2 Meetings:

(a) the value and limitations of meetings as a method of exchanging

information and making decisions

(b) how to determine when meetings are the most effective method

of dealing with issues and possible alternatives which may be

used

(c) potential differences between meetings which are internal and

those involving people from outside

(d) the purpose of agendas and how to devise agendas according to

the issues, intended outcomes and time available

(e) the importance of determining the purpose and objectives of

meetings and how to do so

(f) the importance of summarising discussions and decisions during

meetings and at what points this is appropriate

(g) how to manage discussions so that the objectives of the meeting

are met within the allocated time

(h) the importance of ensuring decisions taken are within the

authority of the meeting




Evidence Requirements — Knowledge and Understanding (cont)

3 Organisational context:

(a) how to determine who are the necessary people to attend the

meeting (b) procedures to follow when calling meetings and preparing

for them





No Description of Evidence a b c d e f g h i j




Range

No Description of Evidence 1a 1b 1c 2a 2b






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/C01 (F081 04) Manage Health, Safety, Welfare and Environmental Factors


CCM5/C01.1 Assess the environmental impact of project proposals

CCM5/C01.2 Develop and establish systems for managing health, safety and welfare

CCM5/C01.3 Maintain and implement systems for managing health, safety and welfare

CCM5/C01.4 Identify hazards and assess risks

Unit Summary

This Core Unit covers the candidate’s key responsibilities for health, safety, welfare and the environment, at a senior decision-making level. These

responsibilities can be interpreted very widely, so that the candidate can produce evidence of competence from a broad range of construction management

disciplines. Those candidates who are office based will benefit from involvement in site activity in order to generate the necessary evidence.

Element 1.1 is about managing pre-project environmental impact analyses, and reporting the results.

Element 1.2 deals with setting up health, safety and welfare systems. These can be either in the office or on site.

Element 1.3 covers the maintenance and implementation of health, safety and welfare systems.

Element 1.4 deals with the identification of hazards and the assessment of the associated risks. Again, these could be in the office or on site.

Note: For the purposes of this Unit:

A hazard is something with the potential to cause harm.

A risk is the likelihood of harm being caused by a hazard, and the degree of its severity.



Element C01.1 Assess the environmental impact of project proposals


This involves:

(a) examining project information, consulting stakeholders and

consulting experts

(b) identifying requirements for assessing the environmental impact

of project proposals examining policy documents, consulting

stakeholders and consulting experts

(c) ensuring the identification of the factors and criteria which will

be used in the impact assessment

(d) identifying and reviewing alternative solutions which will

improve environmental quality and increase sustainability

(e) assessing and quantifying the significance of each factor and

evaluating proposals which will reduce the environmental impact

(f) producing a report of the assessed environmental impact of

project proposals

Range

1 Requirements:

(a) social obligations

(b) current relevant codes of practice

(c) legal obligations

(d) feasibility

(e) conditions to be applied to the proposal

(f) significant environmental issues and effects

2 Factors:

(a) social

(b) economic

(c) ecological and environmental (including resource use)

(d) conservation

(e) legal

(f) technical

(g) timescale

(h) scale

(i) sustainability

(j) recycling

3 Criteria:

(a) primary and secondary effects

(b) positive and negative

(c) opportunities and constraints

(d) construction, operation and decommissioning stages

(e) temporary, cumulative and permanent




Range (cont)

4 Alternative solutions:

(a) different locations

(b) different layouts

(c) extending the use of existing resources

(d) use of alternative resources

(e) changes to implementation and phasing






they apply.

Product Evidence




relevant performance criterion. The candidate must produce documentary

evidence from the workplace covering the following items that are

considered to be common and key/critical to demonstrate competence:

1 Report(s) on the impact of project proposals which include

requirements, selected factors and criteria, and a review of alternative

solutions. (all) [all]

Simulations are not considered to be acceptable for producing


Process Evidence

None applicable.









1 How do you consult stakeholders and experts? (application) (a,b)

[all]

2 How and why do you examine project information? (analysis) (a)

[all]

3 What do you identify as the requirements for assessing the

environmental impact of project proposals? (understanding) (b)

[1,2]

4 How and why do you produce a report of the assessed

environmental impact of the project proposal? (analysis) (f) [2]

5 How and why do you assess and quantify the significance of each

factor? (analysis) (e) [2]

6 How and why do you identify the factors and criterion which will

be included in the impact assessment? (evaluation) (c) [2,3]

7 What do you identify as alternative solutions which will improve

environmental quality and increase sustainability?

(understanding) (d) [4]

8 How and why do you review alternative solutions which will

improve environmental quality and increase sustainability?

(analysis) (d) [4]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 2e 2f 2g 2h 2i 2j 3a 3b 3c 3d 3e 4a 4b 4c 4d 4e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C01.2 Develop and establish systems for managing health, safety and welfare


This involves:

(a) developing adequate health, safety and welfare policies and

systems which meet organisational and statutory requirements

(b) allocating health, safety and welfare responsibilities to people

under your control which are consistent with organisational and

statutory requirements, and the specific project requirements

(c) arranging for accurate statutory notices and hazard warnings to

be posted which are appropriate to construction operations and

the project environment

(d) arranging for allocation of the health, safety and welfare

equipment and resources, to meet organisational and statutory

requirements (e) ensuring that there are appropriate and sufficient qualified first

aiders and that the work force is briefed about first aid

arrangements and procedures

Range

1 Organisational and statutory requirements:

(a) construction specific health, safety and welfare regulations

(b) general health, safety and welfare legislation

(c) recognised industry codes of practice

(d) organisational procedures

2 Statutory notices:

(a) prescribed notices

(b) certificates

(c) Certificates of Insurance

3 Health, safety and welfare equipment and resources:

(a) protective clothing

(b) protective equipment

(c) first aid facilities

(d) welfare facilities

(e) storage and security of materials and equipment

(f) accident and incident reporting

(g) fire fighting equipment

(h) provision of health, safety and welfare training







the Element.



which they apply.

Product Evidence








1 Records of policies and systems which meet requirements. (a) [1]

2 Record(s) of systems for identifying hazards and reducing risks

and which include for the reporting of accidents and emergencies

and prevention of recurrence. (e) [2]

3 Record(s) of health, safety and welfare arrangements which

include allocated responsibilities, posting of statutory notices and

hazard warnings, allocated equipment and resources, specified

first aiders. (a,b,c,d) [all]



this Element.

4 Record(s) of briefing the workforce about first aid arrangements. (e)

[3]

Process Evidence

None applicable.









1 How and why do you develop adequate health, safety and welfare

policies and systems which meet organisational and statutory

requirements? (synthesis) (a) [1]

2 How do you allocate health, safety and welfare responsibilities to

people? (application) (b) [all]

3 How do you arrange for accurate and appropriate statutory

notices and hazard warnings to be posted? (application) (c) [2]

4 How do you arrange allocation of health, safety and welfare

equipment and resources? (application) (d) [3]

5 How do you ensure that the workforce are briefed about first aid

arrangements? (application) (e) [3]

6 How do you ensure that there are appropriate and sufficient

qualified first aiders? (application) (e) [3]





No Description of Evidence a b c d e




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 3a 3b 3c 3d 3e 3f 3g 3h






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C01.3 Maintain and implement systems for managing health, safety and welfare


This involves:

(a) encouraging a culture of health, safety and welfare and identifying

and recommending opportunities for improving the health and

safety of the work environment

(b) inducting people under your control and checking that they are

correctly certified and monitored

(c) maintaining accurate and appropriate statutory notices and

hazard warnings

(d) maintaining health, safety and welfare equipment and

resources which meet the organisational and statutory

requirements (e) implementing systems which meet organisational and statutory

requirements for identifying hazards and reducing risks and for

reporting accidents and emergencies and preventing recurrences

(f) checking health, safety and welfare systems and practice

regularly, in accordance with organisational and statutory

requirements, and dealing effectively with any non-compliances

Range

1 Inducting:

(a) health and safety responsibilities

(b) health, safety and welfare equipment and resources

(c) risk control procedures

(d) first aid arrangements

2 Statutory Ranges:

(a) prescribed notices

(b) certificates

(c) Certificate of Insurance

(d) site safety signs

3 Health, safety and welfare equipment and resources:

(a) protective clothing

(b) protective equipment

(c) first aid facilities and arrangements

(d) welfare facilities

(e) storage and security of materials and equipment

(f) accident and incident reporting

(g) fire fighting equipment

(h) provision of health, safety and welfare training

4 Organisational and statutory requirements:

(a) construction specific health, safety and welfare regulations

(b) general health, safety and welfare legislation

(c) recognised industry codes of practice

(d) organisational procedures







the Element.



which they apply.

Product Evidence








1 Record(s) of inducting and monitoring the health, safety and

welfare of people on site which include encouraging the culture

recommending opportunities for improvement and checking

certification (a,b) [1,2]

2 Record(s) of implementing and maintaining systems which

include statutory notices and hazard warnings, equipment and

resources, identification of hazards and reduction of risks,

reporting accidents and emergencies and preventing recurrences

and dealing with any non-compliance (c,d,e,f) [3,4,5]


3 Observation(s) of inducting and monitoring the health, safety and

welfare of people on site which include encouraging the culture

recommending opportunities for improvement and checking

certification (a,b) [1,2]


this Element.

Process Evidence

None applicable.









1 What do you identify as opportunities for improving the health

and safety of the work environment? (understanding) (a) [1,4]

2 How do you encourage a culture of health, safety and welfare on

site? (application) (a) [1,2,4]

3 How and why do you recommend opportunities for improving the

health and safety of the work environment? (synthesis) (a) [1,4]

4 How do you induct people and check that people are correctly

certified and monitored whilst on site? (application) (b) [1,2,4]

5 How do you maintain accurate statutory notices and hazard

warnings? (application) (c) [2]

6 How do you maintain health, safety and welfare equipment and

resources? (application) (d) [3]

7 How do you implement systems which meet statutory

requirements for identifying hazards and reducing risks and

reporting accidents and emergencies and preventing recurrence?

(application) (e) [4]

8 How do you check health, safety and welfare systems regularly in

accordance with statutory requirements and deal with any non-

compliances? (application) (f) [2]




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 2d 3a 3b 3c 3d 3e 3f 3g 3h 4a 4b 4c 4d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C01.4 Identify hazards and assess risks


This involves:

(a) undertaking risk management processes

(b) reviewing information relating to potential hazards

(c) identifying the significance of the hazards

(d) assessing the hazards to identify the risks and selecting the most

effective methods to reduce risks

(e) specifying clearly the procedures for implementing the risk

reduction methods

(f) implementing and maintaining risk reduction methods and

procedures

(g) utilising opportunities to promote the implementation of the risk

reduction methods

Range

1 Risk management:

(a) hazard identification

(b) risk assessment

(c) prevention and protection

2 Assessing:

(a) likelihood of occurrence

(b) severity of harm which may be incurred

3 Hazards:

(a) falls from height

(b) slips, trips and falls (same level)

(c) hit by falling or moving objects

(d) manual handling

(e) health issues

(f) power sources

(g) hazardous substances

(h) trapped by something collapsing or overturning

(i) confined spaces

(j) fire

4 Risk:

(a) high

(b) medium

(c) low




Range (cont)

5 Methods:

(a) eliminate

(b) control at source

(c) cumulative protection

(d) manage

(e) personal protection equipment






they apply.

Product Evidence








(1) Information on risk management processes which includes reviewed

information on potential hazards and factors relating to hazards,

identified significance of hazards, identified risks, and methods to

reduce risks. (all) [all]


this Element.

Process Evidence

None applicable.









1 How do you undertake risk management processes? (evaluation)

(a) [1]

2 How do you review information relating to potential hazards?

(analysis) (b) [2]

3 How and why do you identify the significance of the hazards?

(synthesis) (c) [2,3]

4 How and why do you assess the hazards to identify the risks?

(analysis) (d) [2,4,5]

5 How and why do you select methods to reduce risks? (evaluation)

(d) [4,5]

6 How do you specify the procedures for implementing risk

reduction methods? (application) (e) [4,5]




Range

No Description of Evidence 1a 1b 1c 2a 2b 3a 3b 3c 3d 3e 3f 3g 3h 3i 3j 4a 4b 4c 5a 5b 5c 5d 5e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/C03 (F07P 04) Control Projects


CCM5/C03.1 Promote continuous quality improvements for products, services and processes

CCM5/C03.2 Maintain project compliance with legal and statutory requirements

CCM5/C03.3 Control project progress against agreed programmes

CCM5/C03.4 Control expenditure against budgets

Unit Summary

This Core Unit covers the candidate’s key responsibilities for project control. ‘Project’ in this context means whatever activities the candidate manages, eg an

office department, or contracts with clients.

Element 3.1 deals with quality management ie operating and improving quality systems. ‘The National Standard of Competence’ (see product evidence 2)

refers to current best practice in quality management and benchmarks in business improvement.

Element 3.2 covers the legal and statutory obligations of the managerial role. This could apply to the office or to construction sites.

Element 3.3 is about achieving planned objectives within agreed timescales. This includes setting up the necessary systems to monitor and control progress,

and dealing effectively with contingencies.

Element 3.4 is about meeting the financial targets on the projects, operating cost control systems, and dealing effectively with contingencies.



Element C03.1 Promote continuous quality improvements for products, services and processes


This involves:

(a) assessing the outcomes of continuous monitoring and quality

evaluations for their implications for the organisation

(b) correctly identifying trends and developments in the quality of

products, services and processes

(c) advising relevant people promptly about the impact trends and

developments may have on the perceived and actual quality of

the organisations products, services and processes

(d) making recommendations for improving the quality of products,

services and processes to relevant people in a form which

supports decision-making

(e) making recommendations clearly show the benefits which

improvements could bring against the resources which would

need to be expended

(f) obtaining and providing sufficient resources and support to allow

improvements to be implemented successfully

(g) monitoring improvements for their effectiveness against agreed

criteria

(h) encouraging relevant people to be involved in continuous quality

improvement

Range

1 Trends and developments:

(a) internal

(b) external

2 Relevant people:

(a) higher-level managers or sponsors

(b) colleagues working at the same level as yourself

(c) quality specialists

3 Improvements in:

(a) human performance

(b) systems performance

(c) organisational policies and strategies





Product Evidence

1 You must also show evidence that you recommend and

implement improvements. (d,e,f,g,h) [3]

2 You must prove that you report on compliance with quality

systems to the National Standard of competence. (all) [1,2,3]

3 You must show evidence that you identify both types of trends

and developments. [1]

4 You must show evidence that you involve at least two types of

relevant people. (c,d,h) [2]

5 You must, however, convince your assessor that you have the

necessary knowledge, understanding and skills to be able to

perform competently in respect of all types of relevant people.

(c,d,h) [2]

Process Evidence

None applicable.


1 Analytical techniques:

(a) how to conduct a cost-benefit analysis

2 Communication:

(a) the principles and processes of effective communication and

how to apply them

(b) how to make recommendations in a form which supports

decision making

3 Involvement and motivation:

(a) how to motivate individuals to be involved in continuous quality

improvement

4 Monitoring and evaluation:

(a) the relevant information from performance monitoring and

evaluation systems

(b) how to assess the implications of the results of monitoring and

evaluation for the organisation

(c) the relevant trends and developments, both inside and outside

the organisation

(d) how to develop criteria to measure effectiveness


(a) the people who should be involved in decisions on continuous

quality improvement and how to secure their involvement





6 Quality management:

(a) how to assess the impact of trends and developments on

the perceived or actual quality of the organisations products,

services and processes

(b) source management

(c) how to assess the resources needed to implement

improvements, and how to obtain and provide these

resources





No Description of Evidence a b c d e f g h




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C03.2 Maintain project compliance with legal and statutory requirements


This involves:

(a) identifying legal and statutory requirements from available

information and clarifying them where there is uncertainty

(b) ensuring that the workforce are briefed about their legal and

statutory responsibilities before they start work on the project

(c) developing and implementing monitoring systems, collecting

information regularly and evaluating it accurately

(d) identifying situations which do not comply with legal and

statutory requirements, investigating the circumstances

thoroughly and taking appropriate corrective action

(e) identifying any new legal and statutory requirements which

may have an impact on the project, summarising the important

details and passing these on to people who have an interest

(f) completing statutory returns accurately and on time

Range

1 Legal and statutory requirements and responsibilities for:

(a) project activities

(b) insurance

(c) health, safety and welfare

(d) environment

(e) utilities regulations

(f) licences and permits

(g) employment practice

2 Monitoring systems:

(a) visual inspection

(b) comparison with design requirements

(c) comparison with standard documentation

(d) site inspection reports

(e) contractors’ reports

(f) site meetings

3 People who have an interest:

(a) the client

(b) contractors

(c) consultants

(d) sub-contractors

(e) suppliers

(f) workforce







the Element.



which they apply.

Product Evidence








1 Record(s) of implemented monitoring systems which include

legal and statutory requirements identified from collected

information, non-complying situations, investigations and

corrective action, and identified and summarised new legal and

statutory requirements. (a,c,d,e) [all]

2 Record(s) of briefing(s) provided to the workforce. (b) [1,3]

3 Record(s) of statutory returns which have been completed. (f) [1]



this Element.

Process Evidence

None applicable.









1 What do you identify as legal and statutory requirements?

(understanding) (a) [1]

2 How do you clarify legal and statutory requirements where

there is uncertainty? (application) (a) [1]

3 How do you ensure that the workforce are briefed on legal and

statutory responsibilities before they start work on the project?

(application) (b) [1]

4 How and why do you develop monitoring systems? (synthesis)

(c) [2]

5 How do you implement monitoring systems? (application) (c) [2]

6 How do you collect information? (application) (c) [2]

7 How do you evaluate information? (evaulation) (c) [2]

8 What do you identify as situations which do not comply with

legal and statutory requirements? (understanding) (d) [1]

9 How and why do you investigate the circumstances of situations

which do not comply with legal and statutory requirements?

(analysis) (d) [1]

10 How do you take appropriate corrective action in situations

which do not comply with legal and statutory requirements?

(application) (d) [1]

11 How do you complete statutory returns? (application) (f) [1]


12 What do you identify as new legal and statutory requirements

which may have an impact on the project? (understanding) (e) [1,3]

13 How do you summarise the important details of any new legal and

statutory requirements which may have an impact on the project?

(application) (e) [1,3]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 2a 2b 2c 2d 2e 2f 3a 3b 3c 3d 3e 3f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C03.3 Control project progress against agreed programmes


This involves:

(a) developing and implementing systems to monitor and record

the progress of the project against the agreed programmes

(b) collecting information regularly and summarising it accurately

(c) identifying inadequately and inappropriately specified resources,

and specifying and obtaining alternative resources

(d) identifying and quantifying any actual or potential deviations

from planned progress which could disrupt the programme

(e) investigating the circumstances of any deviations thoroughly and

agreeing and implementing appropriate corrective action

(f) regularly informing people who have an interest about progress,

changes to the operational programme, resource needs, and

negotiating the decisions and actions that need to be taken

(g) identifying improvements from feedback received and making

appropriate decisions

Range

1 Systems to monitor and record:

(a) organisational procedures

(b) management reports

(c) written and graphical records of actual work against

programmed work

2 Programmes:

(a) written

(b) graphic

(c) electronic

3 Resources:

(a) people



(d) finance

(e) time

(f) specialist services

(g) public utility services

(h) information




Range (cont)

4 Deviations:

(a) resource shortages

(b) design problems and constraints

(c) industrial disputes

(d) lack of essential construction information

(e) construction errors

(f) inclement weather

(g) physical (site) constraints

(h) legal

5 Corrective action:

(a) restore progress in accordance with agreed programme

(b) agree new completion dates

(c) initiate contract claim

(d) secure additional resources

(e) alter planned work






they apply.

Product Evidence








1 Progress monitoring and recording system(s) including record(s) which

include collected and summarised information. (a,b) [1,2]

2 Record(s) of identified and quantified actual or potential deviation(s)

which include identified inadequate and inappropriate specified

resources, specified alternatives and agreed corrective action. (a,b,e)

[3,4,5]

3 Record(s) of information about progress, changes to the operational

programme, and resource needs passed to people who have an interest,

and decisions negotiated. (f) [2,3,4]

4 Record(s) of feedback received and decisions made. (g) [1]





Simulations are not considered to be appropriate for producting


Process Evidence

None applicable.






1 How do you implement systems to monitor and record the progress

of the contract against the agreed programmes, and collect and

summarise information? (application) (a,b) [1,2]

2 How and why do you develop systems to monitor and record the

progress of the contract against the agreed programmes? (synthesis)

(a) [1,2]

3 What do you identify as inadequately and inappropriately specified

resources? (understanding) (c) [3]

4 How do you obtain alternative resources? (application) (c) [3]

5 How and why do you specify alternative resources? (evaluation) (c)

[3]

6 What do you identify as any actual or potential deviations from

planned progress which could disrupt the programme?


7 How and why do you quantify any actual or potential deviations from

planned progress? (analysis) (d) [4]

8 How and why do you investigate the circumstances of any deviations?

(analysis) (e) [4,5]

9 What do you identify as improvements from feedback received?

(understanding) (g) [all]

10 How and why do you agree corrective action? (evaluation) (e) [4,5]

11 How do you implement corrective action? (application) (e) [4,5]





12 How do you inform people who have an interest about progress,

changes to the operational programme, and resource needs?

(application) (f) [2,3,4]

13 How do you negotiate the decisions and actions that need to be

taken? (synthesis) (f) [2,3,4,5]




Range

No Description of Evidence 1a 1b 1c 2a 2b 2c 3a 3b 3c 3d 3e 3f 3g 3h 4a 4b 4c 4d 4e 4f 4g 4h 5a 5b 5c 5d 5e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C03.4 Control expenditure against budgets


This involves:

(a) giving team members opportunities to take individual

responsibility for monitoring and controlling expenditure and

activities against budgets

(b) ensuring your methods of monitoring expenditure and activities

against budgets are reliable and comply with your organisation’s

requirements

(c) monitoring expenditure and activities against agreed budgets at

appropriate intervals

(d) controlling expenditure in line with budgets and the

requirements of your organisation

(e) taking prompt corrective action in response to actual or potential

significant variations from budgets in line with your

organisation’s requirement

(f) referring requests for expenditure outside your responsibility

promptly to the appropriate people

(g) ensuring your records of activities against budgets are complete,

accurate and available to authorised people only

Range

1 Budgets:

(a) for programmes of work in your area of responsibility

(b) for sharing of overhead charges with others

2 Monitoring:

(a) considering oral information from others

(b) examining written evidence from others

(c) examining financial information

3 Expenditure:

(a) supplies of goods

(b) supplies of services

(c) people

(d) overhead expenses

(e) capital equipment

(f) premises

4 Corrective action:

(a) altering activities

(b) rescheduling expenditure

(c) altering budget allocations within limits of responsibility

(d) renegotiating budgets





Product Evidence



perform competently in respect of all types of budgets,

monitoring, expenditure and corrective action. (all) [all]

2 You must prove that you control expenditure and activities

against budgets to the National Standard of competence. (all) [all]

3 You must show evidence that you control both the following

types of budgets. (a,b,c,d,e,g) [1]

4 You must show evidence that you control expenditure on two

types of items. (a,b,c,d,f) [3]

Process Evidence

1 You must also show evidence that you use two types of corrective

action. (e) [4]


1 Budgets:

(a) the importance of budgetary control to organisational efficiency

and your role and responsibility in relation to this

(b) the principles which underpin effective budgetary control and

how to apply them

(c) the variations from the planned budget which may occur; how

to identify these and what forms of corrective action you should

take in response to them

(d) the requests for expenditure outside your area of responsibility

which may be required and the procedures to follow in response

to these

2 Formation handling:

(a) the importance of accurate and comprehensive records of

activities against budgets and how to ensure these are kept.


(a) how to encourage and enable team members to take

responsibility for monitoring and controlling activities against

budgets


(a) your organisations requirements for budgetary monitoring and

control




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c 3d 3e 3f 4a 4b 4c 4d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/C04 (F087 04) Manage Teams and Individuals


CCM5/C04.1 Allocate work to teams and individuals

CCM5/C04.2 Agree objectives and work plans with teams and individuals

CCM5/C04.3 Assess the performance of teams and individuals

CCM5/C04.4 Provide feedback to teams and individuals on their performance

CCM5/C04.5 Enable people to learn and benefit from your experience

Unit Summary

This Core Unit covers the candidate’s key responsibilities for managing teams and individuals.

Element 4.1 covers the allocation of work to teams and individuals, defining responsibilities and securing the commitment of those involved.

Element 4.2 is about agreeing objectives, recognising individual needs and providing the necessary advice and guidance.

Element 4.3 deals with assessing the performance of teams and individuals. This includes encouraging self-assessment, and taking account of individual

circumstances.

Element 4.4 is about providing feedback to teams and individuals; acknowledging achievement, encouraging improvement in performance, and respecting

confidentiality.

Element 4.5 is about helping others to learn from your experience; identifying learning opportunities, advising and coaching, and encouraging their

involvement in their own development. Where appropriate, individual development should be linked to business needs.



Element C04.1 Allocate work to teams and individuals


This involves:

(a) giving opportunities to your team members for recommending

how you should allocate work within the team

(b) allocating work making the best use of your team’s resources

and the abilities of all its members

(c) allocating work providing your team members with suitable

learning opportunities to meet their personal development

objectives

(d) allocating work consistently with your team’s objectives, and the

objectives, policies and values of your organisation

(e) clearly defining the responsibilities of your team and its

individual members, and the limits of their authority

(f) providing sufficient information when allocating work in a

manner and at a level and pace appropriate to the individuals

concerned

(g) confirming team and individual understanding of, and

commitment to, work allocations at appropriate intervals

(h) reaching agreement with relevant people on the prioritisation of

objectives or reallocation of resources, where team resources are

insufficient

(i) informing your team and its members of changes to work

allocations in a way which minimises the impact on time, cost

and inconvenience

Range

1 Allocating work in the contexts of:

(a) normal working

(b) emergencies

2 Information:

(a) spoken

(b) written

(c) graphical

3 Relevant People:

(a) team members


(c) higher-level managers or sponsors

(d) customers

(e) suppliers





Product Evidence

1 You must also show evidence that you reach agreement with at

least two types of relevant people. (all) [3]

2 You must prove that you allocate work to teams and individuals

to the National Standard of competence. (all) [all]

3 You must show evidence that you make allocations covering both

contexts. (a,b,c,d) [1]

4 You must show evidence that you provide at least two types of

information. (f) [2]



perform competently in respect of all types of information and

relevant people. (all) [2,3]


yourself. Evidence from simulated activities is only acceptable for

performance criterion (h) in this Element.

Process Evidence

None applicable.


1 Communication:

(a) the importance of defining and communicating team and

individual responsibilities clearly

(b) how to communicate team and individual responsibilities clearly

to those involved

(c) how to develop and present work plans using spoken, written

and graphical means

2 Delegation:

(a) the importance of the effective allocation of work to your teams

performance and your role and responsibilities in relation to this

(b) the factors which you need to consider when allocating work to

individuals within the team

(c) how to match the allocation of work to learning needs and

individual development plans

(d) how to prioritise and re-prioritise work allocations according to

resource availability

(e) how your changes to work allocations and negotiations around

them can impact on cost, time and convenience

(f) involvement and motivation

(g) why your team members should have the opportunity to

recommend work allocations

(h) how to encourage and enable team members to provide

suggestions on the allocation of work and be committed to their

responsibilities






(a) your team objectives, and the organisational policies and

values which have a bearing on the allocation of work

within your team

(b) the relevant people with whom negotiations on the

allocation of resources need to take place





No Description of Evidence a b c d e f g h i




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c 3d 3e




Evidence Comments: Where knowledge evidence is used to cover items of range not included in the workplace evidence, this should be specified here.


Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C04.2 Agree objectives and work plans with teams and individuals


This involves:

(a) giving opportunities to your team members to help define their

own objectives and work plans (b) developing objectives and work plans which are consistent with

team and organisational objectives and agreeing these with all

personnel in your area of responsibility

(c) ensuring that the objectives, work plans and schedules are

realistic and achievable within organisational constraints

(d) ensuring that the objectives and work plans take account of

team members’ abilities and development needs

(e) explaining the objectives and work plans in sufficient detail and

at a level and pace appropriate to individual team members

(f) confirming team and individual understanding of, and

commitment to, objectives and work plans at appropriate

intervals

(g) providing advice and guidance on how to achieve objectives in

sufficient detail and at times appropriate to the needs of teams and

individuals

(h) updating the objectives and work plans regularly and taking

account of any individual, team and organisational changes

Range

1 Team members:

(a) people for whom you have line responsibility

(b) people for whom you have functional responsibility

2 Objectives and work plans:

(a) short-term

(b) medium-term

(c) long-term

3 Organisational constraints:

(a) organisational objectives

(b) organisational policies

(c) resources





Product Evidence

1 You must also show evidence that you take account of all types of

organisational constraints. (c) [3]

2 You must prove that you agree objectives and work plans with

teams and individuals to the National Standard of competence.

(all) [all]

3 You must show evidence that you agree at least two types of

objectives and work plans. (a,b,c,d,e,f,h) [2]

4 You must show evidence that you involve and plan work with at

least one type of team member. (a,d,e) [1]



perform competently in respect of all types of team member, and

objectives and work plans. (all) [all]

Process Evidence

1 You must prove that you agree objectives and work plans with

teams and individuals to the National Standard of competence.

(all) [all]

2 You must show evidence that you agree at least two types of

objectives and work plans. (a,b,c,d,e,f,h) [2]

3 You must show evidence that you involve and plan work with at

least one type of team member. (a,d,e) [1]




Element.





1 Communication:

(a) the importance of good communication when explaining

objectives and work plans


(a) the importance of consulting with team members and

achieving consensus and agreement on objectives and

work plans

(b) how to encourage and enable team members to define their

own work objectives and plans

(c) how to gain the commitment of team members to

objectives and work plans (d) the types of issues on which your team members may need

advice and guidance


(a) the organisational objectives and constraints which have

a bearing on objectives and work

(b) planning

(c) how to identify and devise objectives and work plans for

the short, medium and long term

(d) the importance of agreeing objectives and work plans

which are realistic and achievable

(e) how to match objectives and work plans with individuals

abilities and development needs

(f) the importance of regularly updating objectives and work

plans


(g) the difference between someone who is within the managers

line management control and someone for whom the manager

has functional responsibility, and the implications this

difference may have for planning work




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C04.3 Assess the performance of teams and individuals


This involves:

(a) clearly explaining the purpose of monitoring and assessment to

all those involved

(b) giving opportunities to teams and individuals to monitor and

assess their own performance against objectives and work plans

(c) monitoring the performance of teams and individuals at times

most likely to maintain and improve effective performance

(d) assessing the performance of teams and individuals based on

sufficient, valid and reliable information

(e) carrying out your assessments objectively, against clear, agreed

criteria

(f) assessing taking due account of the personal circumstances of

team members and the organisational constraints on their work

Range

1 Purpose:

(a) assuring that objectives have been achieved

(b) assuring that quality and customer requirements have been met

(c) appraising team or individual performance

(d) assessing performance for reward

(e) recognising competent performance and achievement

2 Monitoring and assessment:

(a) specific to one activity or objective

(b) general to overall performance of the team or individual

3 Information:

(a) qualitative

(b) quantitative

4 Organisational constraints:

(a) organisational objectives

(b) organisational policies

(c) resources





Product Evidence

1 You must also show evidence that you take account of all types of

organisational constraints. (f) [4]

2 You must prove that you assess the performance of teams and

individuals to the National Standard of competence. (all) [all]

3 You must show evidence that you use at least one type of

monitoring and assessment. (a,b,c,e,f) [2]

4 You must show evidence that you use both types of information.

(d) [3]

5 You must show evidence that your assessments have at least two

types of purpose. (a) [1]



perform competently in respect of all types of purpose,

monitoring and assessment. (all) [1,2]

Process Evidence

1 You must prove that you assess the performance of teams and

individuals to the National Standard of competence. (all) [all]



Element.


1 Communication:

(a) the importance of being clear yourself about the purpose of

monitoring and assessment and communicating this effectively

to those involved

2 Continuous improvement:

(a) the importance of monitoring and assessing the ongoing

performance of teams and individuals

(b) different purposes of work monitoring and assessment

(c) how to make fair and objective assessments

(d) how to monitor and assess the performance of teams and

individuals

(e) the standards against which work is to be assessed

(f) the information needed to assess the performance of teams and

individuals

3 Information handling:

(a) how the necessary information should be gathered and

validated


(a) the importance of providing opportunities to team members to

monitor and assess their own work, and how to enable this


(a) the organisational constraints which may affect the

achievement of objectives





6 Providing support:

(a) the types of personal circumstances which may impact on

individual performance




Range

No Description of Evidence 1a 1b 1c 1d 1e 2a 2b 3a 3b 4a 4b 4c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C04.4 Provide feedback to teams and individuals on their performance


This involves:

(a) providing feedback to teams and individuals in a situation and in

a form and manner most likely to maintain and improve their

performance

(b) providing feedback which is clear, and is based on your objective

assessment of their performance against agreed objectives

(c) providing feedback acknowledging your team members

achievements

(d) giving feedback providing your team members with constructive

suggestions and encouragement for improving future performance

against their work and development objectives

(e) providing feedback in a way which shows respect for individuals

and the need for confidentiality

(f) giving opportunities to teams and individuals to respond to

feedback, and recommending how they could improve their

performance in the future

Range

1 Feedback:

(a) positive

(b) negative

(c) spoken

(d) written

2 Situation:

(a) during normal day-to-day activities

(b) when required to maintain motivation, morale and effectiveness

(c) during formal appraisals

(d) at team meetings and briefings

(e) during confidential discussions of work





Product Evidence

1 You must also show evidence that you give feedback in at least

three types of situation. (a) [2]

2 You must prove that you provide feedback to teams and

individuals on their performance to the National Standard of

competence. (all) [all]

3 You must show evidence that you provide all types of feedback.

(a) [1]



perform competently in respect of all types of situation. (a) [2]

Process Evidence

1 You must also show evidence that you give feedback in at least

three types of situation. (a) [2]

2 You must prove that you provide feedback to teams and

individuals on their performance to the National Standard of

competence. (all) [all]

3 You must show evidence that you provide all types of feedback.

(a) [1]



Element.


1 Communication:

(a) the important of good communication skills when providing

feedback

(b) how to provide both positive and negative feedback to team

members on their performance

(c) how to choose an appropriate time and a place to give feedback

to teams and individual

(d) how to provide feedback in a way which encourages your team

members to feel that you respect them

2 Continuous improvement:

(a) the importance of providing clear and accurate feedback to your

team members on their performance and your role and

responsibilities in relation to this

(b) information handling

(c) the principles of confidentiality when providing feedback —

which people should receive which pieces of information


(a) how to motivate team members and gain their commitment by

providing feedback

(b) the importance of being encouraging when providing feedback

to team members and showing respect for those involved

(c) the importance of providing constructive suggestions on how

performance can be improved





4 Communication:

(a) the important of giving those involved the opportunity to

provide suggestions on how to improve their work




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 2d 2e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C04.5 Enable people to learn and benefit from your experience


This involves:

(a) identifying and offering adequate and appropriate opportunities

and resources for people to learn

(b) selecting and summarising relevant and up to date information

about knowledge and practice in a format which is suitable for

distribution and for developing learning materials

(c) advising and coaching people so that they can identify their

current level of competence, their learning needs and targets

(d) selecting and using appropriate learning techniques and

methods which are suitable for the topic and the needs of the

individual

(e) presenting information to people using a pace, style and form

which is appropriate to their needs

(f) encouraging people to ask questions, seek clarification and advice

when they need help and during learning activities

(g) reviewing people’s progress towards agreed objectives and giving

realistic and positive feedback on achievements

(h) identifying, through discussion with people, areas where they

need help to achieve their agreed competence levels and using the

information to produce an agreed personal development plan

Range

1 Opportunities and resources:

(a) paid time

(b) personal time

(c) office

(d) site, group and mutual collaboration

2 People:

(a) colleagues

(b) junior colleagues

(c) trainees entering the industry

(d) potential entrants to the industry

3 Learning techniques and methods:

(a) attending training and educational programmes

(b) coaching

(c) mentoring

(d) instructing

(e) agreeing work based learning opportunities







the Element.



which they apply.

Product Evidence








1 Personal development plan(s) which include identified

competence level needs, opportunities and resources for people to

learn, reviewed progress and feedback. (a,g,h) [1,2]

2 Information summarised for developing learning materials. (b) [3]

3 Record(s) of questions asked, advice and clarification sought, and

coaching given. (c) [2]

4 Record(s) of presented information which includes selected

learning techniques and methods, feedback, questions,

clarification and advice. (d,e,f) [2,3]


Process Evidence

The candidate must produce observed evidence from the workplace


key/critical to demonstrating competence:

1 Presentation(s) made (e,f) [2]


this Element.









1 What do you identify as adequate and appropriate opportunities

and resources for people to learn? (understanding) (a) [1,2]

2 What do you identify as areas in which people need help to

achieve agreed competence levels? (understanding) (h) [2]

3 How do you offer adequate and appropriate opportunities and

resources for people to learn? (synthesis) (a) [1,2]

4 How do you present information to people? (application) (e) [2]

5 How do you encourage people to ask questions, to seek

clarification and advice when they need help and during learning

activities? (application) (f) [2]

6 How do you use information about people’s needs to produce an

agreed personal development plan (application) (h) [2]

7 How and why do you review people’s progress towards agreed

objectives? (analysis) (g) [2]

8 How and why do you advise and coach people so that they can

identify their current level of competence, their learning needs

and targets? (synthesis) (c) [2]

9 How and why do you give realistic and positive feedback on

achievements? (synthesis) (g) [2]

10 How do you summarise relevant and up to date information about

knowledge and practice? (application) (b) [3]


11 How and why do you select relevant and up to date information about

knowledge and practice? (evaluation) (b) [3]

12 How do you use appropriate learning techniques and methods?


13 How and why do you select appropriate learning techniques and

methods? (evaluation) (d) [3]




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 2d 3a 3b 3c 3d 3e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/C05 (F075 04) Enhance Working Relationships and Develop Self


CCM5/C05.1 Enhance the trust and support of colleagues

CCM5/C05.2 Enhance the trust and support of those to whom you report

CCM5/C05.3 Provide guidance on values at work

CCM5/C05.4 Develop and maintain relationships with people who are affected by your work

CCM5/C05.5 Undertake personal development in the occupational practice area

Unit Summary

This Core Unit covers the candidate’s key responsibilities for ensuring good working relationships with all those with whom he/she comes into contact. It also

includes developing himself/herself.

Element 5.1 is about ensuring constructive working relationships with work colleagues, consulting them, keeping them informed, honouring commitments to

them, and providing necessary support.

Element 5.2 covers the maintenance of good relationships with those senior in the organisation; in reporting, explaining, clarifying, and resolving

disagreements.

Element 5.3 is about providing guidance on values at work; consulting, working within appropriate limits, resolving problems and imposing sanctions where

necessary.

Element 5.4 is about relationships with those outside the candidate’s organisation, eg clients, users and the public. This includes informing, advising,

proposing, clarifying and resolving conflicts.

Element 5.5 is about personal development; identifying your development needs, planning the development process, carrying out the plan, and reviewing its

effectiveness.



Element C05.1 Enhance the trust and support of colleagues


This involves:

(a) consulting with colleagues about proposed activities at

appropriate times and in a manner encouraging open, frank

discussion

(b) keeping colleagues informed about organisational plans and

activities, emerging threats and opportunities

(c) honouring the commitments you make to colleagues

(d) treating colleagues in a manner which shows your respect for

individuals and the need for confidentiality

(e) giving colleagues sufficient support for them to achieve their

work objectives

(f) discussing directly with the colleagues concerned your evaluation

of their work and behaviour

Range

1 Colleagues:

(a) working at the same level as you

(b) working at a higher level than you

(c) working at a lower level than you





Product Evidence

1 You must prove that you enhance the trust and support of

colleagues to the National Standard of competence. (all) [all]

2 You must show evidence of gaining the trust and support of two

types of colleagues. (all) [all]



perform competently in respect of all types of colleagues. (all)

[all]

Process Evidence

None applicable.


1 Communication:

(a) how to consult with colleagues in a way which encourages open

and frank discussions

(b) how to select communication methods appropriate to the issues

and contexts

(c) the importance of effective communication methods to

productive working relationships

(d) the importance of discussing evaluations of output and

behaviour at work promptly and directly with those concerned

(e) how to provide feedback in a way which will lead to a

constructive outcome

2 Information handling:

(a) the types of information concerning colleagues which need to be

treated confidentially and procedures to follow to ensure this


(a) the organisational plans and activities, emerging threats and

opportunities, which are relevant to the work of colleagues and

about which they need to be informed

(b) the strategies and styles of working which encourage effective

working relationships

(c) the importance of honouring commitments to colleagues

(d) the importance of showing respect for colleagues and how to do

this





4 Providing support:

(a) the support colleagues may require to achieve their

objectives and how to provide such support

(b) working relationships

(c) how people work in groups especially at senior levels

within an organisation




Range

No Description of Evidence 1a 1b 1c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C05.2 Enhance the trust and support of those to whom you report


This involves:

(a) giving those to whom you report timely and accurate reports on

activities, progress, results and achievements

(b) giving those to whom you report clear and accurate information

about emerging threats and opportunities with a degree of

urgency appropriate to the situation

(c) ensuring your proposals for action are clear and realistic

(d) presenting your proposals for action to those to whom you

report at appropriate times

(e) where you have disagreements with those to whom you report,

making constructive efforts to resolve these disagreements and

maintain good working relationship

Range

1 Those to whom you report:

(a) an individual

(b) an organisation, board or other authority

2 Proposals:

(a) spoken

(b) written





Product Evidence

1 You must also show evidence that you present proposals in one

form. (c,d) [2]

2 You must prove that you enhance the trust and support of those to

whom you report to the National Standard of competence. (all)

[all]

3 You must show evidence that you gain the support of one of those

to whom you report. (a,b,d,e) [1]



perform competently in respect of all types of those to whom you

report and all types proposals. (all) [all]



Element.

Process Evidence

None applicable.


1 Communication:

(a) the importance of keeping those to whom you report informed

of activities, progress, results and achievements and how to do

this

(b) how to develop and present proposals in ways which are

realistic, clear and likely to influence those to whom you report

positively


(a) the management structures, lines of accountability and control in

your organisation

(b) the general responsibilities of those to whom you report

(c) the decision making processes within your organisation

(d) the types of emerging threats and opportunities about which

those to whom you report need to be informed and the degree

of urgency attached to these

(e) the types of organisational policies and ways of working about

which you need to consult with those to whom you report, and

how to do this

3 Working relationships:

(a) strategies and styles of working which encourage effective

working relationships

(b) methods of handling disagreements with those to whom you

report in a constructive manner




Range

No Description of Evidence 1a 1b 2a 2b






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C05.3 Provide guidance on values at work


This involves:

(a) consulting with relevant people on the way in which values are

expressed in work and working relationships

(b) providing clear and relevant guidance on organisational values

and the limits of acceptable practice

(c) where problems and conflicts arise which cannot be addressed

routinely, providing adequate resources to resolve the situation

promptly

(d) where activities contradict organisational values and guidance,

imposing disciplinary sanctions in line with organisational

policies and legal requirement

Range

1 Relevant people:

(a) team members


(c) higher-level managers or sponsors

(d) specialists

2 Guidance:

(a) individual counselling

(b) group discussions

(c) training programmes

(d) publication of guidance materials





Product Evidence

1 You must prove that you provide guidance on values at work to

the National Standard of competence. (all) [all]

2 You must show evidence of consulting with, and providing

guidance to, two types of relevant people. (a) [1]

3 You must show evidence of providing two types of guidance.

(b,c) [2]


knowledge, understanding and skills to be able to perform

competently in respect of all types of relevant people and

guidance. (a,b,d) [all]


yourself. Evidence from simulated activities is acceptable only for

Performance Criteria (c) and (d) in this Element.

Process Evidence

None applicable.


1 Communication:

(a) how to consult with team members, colleagues, line managers

and personnel specialists on values issues


(a) the values of your organisation

(b) how to interpret organisational values and identify the

implications for behaviour at work and in working relationships

(c) the types of breaches of organisational values and guidance

which could occur and what kind of responses to these are

appropriate according to organisational policy and legal

requirements

(d) the types of problems and conflicts which may arise concerning

the application of values within the organisation and strategies to

resolve these


(a) the importance of values to organisations and the contribution

they can make to the work of staff and overall organisational

effectiveness

(b) the types of guidance which team members, colleagues, line

managers and personnel specialists may require on

organisational values and the limits of acceptable practice and

how to provide this guidance





No Description of Evidence a b c d




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 2d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C05.4 Develop and maintain relationships with people who are affected by your work


This involves:

(a) developing, maintaining and encouraging working relationships

with people which promote goodwill and trust

(b) informing people about work activities in an appropriate level

of detail and with an appropriate degree of urgency

(c) offering advice and help to people about work activities with

sensitivity and encouraging questions, requests for clarification

and comments

(d) presenting proposals for action clearly to people at an

appropriate time and with the right level of detail for the degree of

change, expenditure and risk involved

(e) clarifying with people objections to proposals and suggesting

alternative proposals

(f) resolving conflicts and differences of opinion in ways which

minimise offence, and maintain goodwill, trust and respect

Range


(a) formal

(b) informal

2 People:

(a) those commissioning work

(b) employers

(c) employees

(d) clients and customers

(e) statutory bodies

(f) users

(g) professional consultants

(h) contractors

(i) consultants

(j) partners

(k) general public

(l) community groups

(m) suppliers of products and services

(n) government agencies

3 Promote goodwill and trust:

(a) demonstrating a duty of care

(b) ethical relationships

(c) professional independence

(d) honouring promises and undertakings

(e) honest relationships

(f) constructive relationships

(g) equal opportunities




Range (cont)

4 Informing, offering advice, presenting and clarifying:

(a) orally

(b) in writing

(c) using graphics

(d) electronically

5 Work activities:

(a) progress

(b) results

(c) achievements

(d) emerging threats

(e) risks

(f) opportunities






they apply.

Product Evidence








1 Record(s) of people with whom working relationships have been

developed. (a) [1,2]

2 Information and advice provided about work activities. (a,b,c,f) [all]

3 Proposal(s) presented, including clarification and alternatives offered.

(d,e) [1,2,3,4]





Process Evidence

The candidate must produce observed evidence from the workplace

covering the following item(s) that are considered to be common and

key/critical to demonstrating competence:

1 Information, advice and presentations. (all) [all]


for this Element.






1 How do you maintain and encourage working relationships with

people which promote goodwill and trust? (application) (a) [1,2,3]

2 How and why do you develop working relationships with people

which promote goodwill and trust? (synthesis) (a) [1,2,3]

3 How and why do you resolve conflicts and differences of opinion in

ways which minimise offence, and maintain goodwill, trust and

respect? (synthesis) (f) [3]

4 How do you encourage questions, requests for clarification and

comments? (application) (c) [4]

5 How do you present proposals for action to people? (application) (d)

[2,4]

6 How do you clarify with people objections to proposals? (application)

(e) [2,4]

7 How and why do you suggest alternative proposals where objections

have been raised in respect of existing proposals? (synthesis) (e) [2,4]

8 How and why do you inform people about work activities in an

appropriate level of detail and with an appropriate degree of urgency?

(application) (b) [4,5]

9 How and why do you offer advice and help to people about work

activities? (synthesis) (c) [2,4,5]




Range

No Description of Evidence 1a 1b 2a 2b 2c 2d 2e 2f 2g 2h 2i 2j 2k 2l 2m 2n 3a 3b 3c 3d 3e 3f 3g 4a 4b 4c 4d 5a 5b 5c 5d 5e 5f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element C05.5 Undertake personal development in the occupational practice area


This involves:

(a) analysing the current personal level of performance against the

identified standards of competence and recording a profile of

present competence and personal development needs

(b) identifying and selecting relevant standards of competence

against which personal development can be measured

(c) identifying and contacting sources of support and guidance for

undertaking personal development

(d) defining the personal aims and objectives for undertaking

personal development (e) preparing a development plan for achieving identified

development needs

(f) undertaking development activities aimed at achieving identified

development needs, reviewing and recording progress and the

effectiveness of the activities

(g) measuring achievement of identified development needs and

recording evidence of competence gained against the identified

standards of competence (h) reviewing the cycle of personal development aims and

objectives and revising and updating aims and objectives to suit

changing circumstances

Range

1 Standards of competence:

(a) job descriptions

(b) professional institution requirements

(c) national occupational standards

2 Personal development:

(a) maintenance of existing competence

(b) improvements to existing competence

(c) development of new competence

(d) commitment to professional excellence

3 Sources of support and guidance:

(a) national/industry bodies

(b) professional institutions

(c) education and training providers

(d) in house

4 Aims and objectives:

(a) preparation for new jobs

(b) intellectual challenge

(c) need for updating

(d) need to provide evidence of professional competence

(e) compliance with employer and professional requirements

(f) promotion or job change

(g) awareness of shortcomings




Range (cont)

5 Development plan includes:

(a) priorities

(b) target dates

(c) development activities

6 Development activities:

(a) formal courses

(b) research

(c) work experience

(d) personal study

Evidence Requirements — Performance





they apply.

Product Evidence








1 Record(s) of personal development aims and objectives which include

sources of support and guidance and selected standards of competence

and reviews and updating. (a,b,c,h) [1,2,3,4]

2 Profile(s) of present competence identified against standards of

competence. (a) [1,2]

3 Personal development plan(s) which include identified development

needs. (d,e) [5]

4 Record(s) of developed progress achievement and evidence of

competence identified against standards of competence. (f,g) [4,6]






for this Element.

Process Evidence

None applicable.






1 How do you record a profile of present competence and personal

development needs? (application) (a) [1,2]

2 What do you identify as relevant standards of competence against

which personal development can be measured? (understanding) (b)

[1,2]

3 How and why do you analyse the current personal level of performance

against the identified standards of competence? (analysis) (a) [1,2]

4 How and why do you select relevant standards of competence against

which personal development can be measured? (evaluation) (b) [2,4]

5 What do you identify as sources of support and guidance for

undertaking personal development? (understanding) (b) [2,3]

6 How do you contact sources of support and guidance for undertaking

personal development? (application) (c) [2,3]

7 How and why do you define the personal aims and objectives for

undertaking personal development? (evaluation) (d) [1,2,4]

8 How and why do you prepare a development plan? (synthesis) (e) [5]

9 How do you measure achievement of identified development needs and

record evidence of competence gained against the identified standards

of competence? (application) (g) [4]

10 How do you record evidence of competence gained against the

identified standards of competence? (application) (g) [1]





11 How and why do you review the cycle of personal development

aims and objectives? (analysis) (h) [1,2]

12 How do you revise and update personal development aims and

objectives to suit changing circumstances? (application) (h) [2,4]

13 How and why do you undertake development activities?

(evaluation) (f) [2,4]




Range

No Description of Evidence 1a 1b 1c 2a 2b 2c 2d 3a 3b 3c 3d 4a 4b 4c 4d 4e 4f 4g 5a 5b 5c 6a 6b 6c 6d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O06 (F07X 04) Manage Factors Affecting Project Feasibility


CCM5/O06.1 Identify investigation requirements

CCM5/O06.2 Confirm legislation requirements and constraints

CCM5/O06.3 Agree project cost strategies

Unit Summary

This Optional Unit coves the candidate’s key responsibilities for assessing the feasibility of project opportunities, and for deciding whether or not to pursue

them. This Unit is particularly applicable to projects involving partnering arrangements.

Element 6.1 is about deciding what research is needed to gather the necessary information — eg for making decisions; and for managing the investigations.

This is likely to include the basic project data and context.

Element 6.2 covers the legal context of proposed projects, and obtaining the necessary information — eg on planning and environmental issues — for making

decisions.

Element 6.3 is about researching the cost strategy options for project opportunities, evaluating all the information gathered, and deciding whether or not to go

ahead.



Element O06.1 Identify investigation requirements


This involves:

(a) identifying the factors for investigation that may be significant

for the planned development by examining data, setting up and

facilitating discussions and meetings

(b) selecting the critical aspects of both the site and the surrounding

areas which require investigation and prioritising them

(c) agreeing the priorities for investigation, an accurate estimate of

the time and costs involved, and summarising both the priorities

and estimates in an investigation brief

(d) obtaining any permission(s) needed to carry out the investigation

and confirming that they are valid before the investigation starts

(e) checking and confirming that insurance has been taken out to

provide full cover against accidents and negligence

(f) contacting people and organisations who will be affected by the

investigation, providing them with clear and accurate information

and asking for their cooperation

(g) commissioning investigations by selecting people and

organisations who are competent to do the work

(h) evaluating the results of the investigation and deciding on an

appropriate course of action

Range

1 (Factors for) investigation:

(a) historical

(b) conservation

(c) social

(d) visual and spatial

(e) ecological and environmental

(f) construction

(g) measured survey

(h) physical testing

2 Permission(s) from:

(a) client(s)

(b) owner(s) and occupier(s)

(c) adjoining owner(s) and occupier(s)

(d) notifiable authorities







the Element.



which they apply.

Product Evidence








1 Investigation brief(s) including significant factors; critical aspects

of site and surroundings; priorities; time and cost estimates.

(a,b,c) [1]

2 Record(s) of permissions and insurance. (d,e) [2]

3 Record(s) of commissioning investigations. (g) [1]

4 Specification(s) for contractor(s). (g) [1]

5 Record(s) of discussion(s) and meeting(s). (a,f) [1]

6 Record(s) of evaluations of investigation results and decided

course of actions. (h) [1]



this Element.

Process Evidence

None applicable.









1 How and why do you commission investigations? (evaluation)

(g) [1]

2 How do you summarise the priorities and estimates? (application)

(c) [1]

3 How do you check and confirm insurance has been taken out?


4 How and why you identify the factors for investigation that may

be significant for the planned development? (synthesis) (a) [1]

5 How and why do you select the critical aspects of the site and the

surrounding areas which require investigation? (evaluation) (b)

[1]

6 How and why do you prioritise the critical aspects of the site and

the surrounding areas which require investigation? (analysis) (b)

[1]

7 How and why do you agree the priorities for investigation, and an

accurate estimate of the time and costs involved? (evaluation) (c)

[1]

8 How do you obtain any permissions that will be needed to carry

out the investigation and confirm that they are valid before the

investigation starts? (application) (d) [1,2]


9 How do you contact people and organisations who will be affected by

the investigation, provide them with clear and accurate information,

and ask for their cooperation? (application) (f) [1,2]

10 How and why do you evaluate the results of the investigation and

decide on an appropriate course of action? (evaluation) (h) [1]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 1h 2a 2b 2c 2d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O06.2 Confirm legislation requirements and constraints


This involves:

(a) confirming investigation methods and techniques which are

valid, reliable, consistent with legal requirements and which

identify the feasibility of the development

(b) identifying the requirements and preferred options of planning

and other regulatory bodies which have an interest in key factors

of the development

(c) identifying and assessing the relative importance of existing and

anticipated legislation

(d) identifying and reviewing opportunities and constraints on

development options which could result from both existing and

anticipated legislation

(e) summarising any legislative constraints which might affect the

viability of the development and explaining the procedures for

appealing against negative decisions

Range

1 Methods and techniques for the investigation:

(a) standard document search

(b) field research

(c) client and user consultation

(d) discussion with regulatory and statutory bodies and local

authorities

2 Key factors:

(a) infrastructure issues

(b) land use

(c) physical development

(d) environmental considerations

(e) timetable

(f) financing

3 Legislation about:

(a) planning and development

(b) construction

(c) health and safety

(d) environment

(e) end use







the Element.



which they apply.

Product Evidence








1 Record(s) of the methods and techniques to be used. (a) [1]

2 Summary(ies) of regulatory and legislative requirements and

constraints which include preferred options; relative importance

of existing and anticipated legislation; explanations of the appeals

procedures. (b,c,d,e) [2,3]


for this Element.


Process Evidence

None applicable.









1 How and why do you confirm investigation methods and

techniques? (evaluation) (a) [1]

2 What do you identify as the requirements and preferred options of

planning and other regulatory bodies which have an interest in

key factors of the development? (understanding) (b) [2]

3 How and why do you assess the relative importance of existing

and anticipated legislation? (analysis) (c) [3]

4 How and why do you identify the relative importance of existing

and anticipated legislation? (synthesis) (c) [3]

5 How and why do you review opportunities and constraints on


anticipated legislation? (analysis) (d) [3]

6 How and why do you identify opportunities and constraints on


anticipated legislation? (evaluation) (d) [3]

7 How do you summarise any regulatory constraints which might

affect the viability of the development, and explain the procedures

for appealing against negative decisions? (application) (e) [3]




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 2d 2e 2f 3a 3b 3c 3d 3e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O06.3 Agree project cost strategies


This involves:

(a) identifying and agreeing assumptions about cost elements,

alternative designs, construction, services, financing, and use

options for the project with stakeholders

(b) selecting appropriate methods for assessing the factors relevant

to the projected cost options for the project and agreeing them

with stakeholders

(c) discussing the cost implications of adopting alternative designs,

construction methods, services, and accounting strategies, and

agreeing cost strategies with stakeholders

(d) evaluating all the research which has been carried out, and

deciding whether or not to proceed

Range

1 Stakeholders:

(a) internal

(b) external

2 Methods:

(a) cost benefit analysis

(b) life cycle costing

(c) value management

3 Factors:

(a) capital costs

(b) costs in use

(c) residual value

(d) residual costs

4 Research:

(a) surveys

(b) tests

(c) health, safety and environment

(d) legal

(e) financial







the Element.



which they apply.

Product Evidence








1 Record(s) of selected cost options. (all) [all]

2 Record(s) of discussion(s). (d) [1,4]


for this element.

Process Evidence

None applicable.






1 How and why do you identify and agree assumptions about cost

elements, alternative designs, construction, services, financing and use

options for the project? (synthesis) (a) [1]

2 How do you discuss the implications of adopting different design,

construction methods, services, accounting strategies and agree cost

strategies with stakeholders? (application) (d) [1]

3 How and why do you agree assumptions about cost elements,

alternative designs, construction, services, financing and use options

for the project with stakeholders? (evaluation) (a) [1]

4 How do you discuss design, construction, services, financing and use

strategies with stakeholders? (application) (c) [all]

5 How and why do you agree design, construction, services, financing

and use strategies with stakeholders? (evaluation) (c) [1]

6 How and why do you select and agree appropriate methods for

assessing the factors which are relevant to the projected cost options

for the project and agree them with stakeholders? (evaluation) (b)

[1,2,3]

7 How and why do you evaluate all the research and decide whether or

not to proceed? (evaluation) (d) [4]




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c 3d 4a 4b 4c 4d 4e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O07 (F084 04) Manage Project Design


CCM5/O07.1 Identify and assess significant factors affecting the project design

CCM5/O07.2 Manage applications to secure statutory consents

CCM5/O07.3 Negotiate and agree a project design

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for managing the designs for projects. This could be either at the pre-award or the post-award

stage; and could involve ‘at risk’ financial commitment.

Element 7.1 covers the review of the significant factors affecting project designs. It involves leading the project team in agreeing the key design parameters.

This will probably be ‘pre-award’ work.

Element 7.2 relates to identifying and evaluating the consents necessary for the project, and managing the subsequent applications. Again, this is likely to be

at the ‘pre-award’ stage.

Element 7.3 is about securing the stakeholders’ agreement to the chosen design for the project. This could be at the pre-award or post-award stage.



Element O07.1 Identify and assess significant factors affecting the project design


This involves:

(a) reviewing and evaluating the findings of investigations and

identifying significant factors which may influence existing and

anticipated development

(b) confirming data and conclusions from all areas of specialist

research and design evaluation, and circulating the documents to

project team members

(c) evaluating the information available with the project team, and

producing realistic design parameters which recognise significant

opportunities and constraints (d) assessing the design parameters and circulating the assessment to

the people responsible for project design, planning and scheduling

(e) advising stakeholder(s) on the most appropriate course(s) of

action

Range

1 Significant factors:

(a) stakeholder requirements

(b) community

(c) construction

(d) regulatory

(e) health and safety

(f) cost

(g) environmental

2 Opportunities and constraints:

(a) project type, purpose, location

(b) lifecycle

(c) use

(d) significance/status

(e) legal and regulatory

(f) physical and technical

(g) health and safety

(h) anticipated development timetable

(i) environmental quality and sustainability







the Element.



which they apply.

Product Evidence








1 Record(s) of significant factors, opportunities and constraints, and

design parameters identified through investigation, research,

evaluation and assessment. (a,b,c,d) [all]

2 Document(s) and assessment(s) circulated to project team

members and people responsible for project design, planning and

scheduling. (b,c,d) [all]

3 Record(s) of advice given to stakeholders. (e) [all]



this Element.

Process Evidence

None applicable.









1 How and why do you review the findings of investigations?

(analysis) (a) [1]

2 How and why do you evaluate the findings of investigations?

(evaluation) (a) [1]

3 How and why do you identify significant factors which may

influence existing and anticipated development? (understanding)

(a) [1]

4 How do you confirm data and conclusions and circulate

documents to project team members? (application) (b) [1,2]

5 How and why do you assess the design parameters? (analysis) (d)

[1,2]

6 How do you circulate the assessment of the design parameters to

people responsible for project design, planning and scheduling?

(application) (d) [1,2]

7 How and why do you evaluate the information available?

(evaluate) (c) [2]

8 How do you produce realistic design parameters which recognise

significant opportunities and constraints? (application) (c) [2]

9 How and why do you advise stakeholder(s) on the most

appropriate course(s) of action? (synthesis) (e) [1,2]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 2a 2b 2c 2d 2e 2f 2g 2h 2i






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O07.2 Manage applications to secure statutory consents


This involves:

(a) identifying which aspects of the project are subject to statutory

controls and will need consents

(b) checking and confirming with the relevant authorities the

requirements, procedures and likely timescale for statutory

approvals and other consents

(c) forecasting how long the submission and approval of

applications for consent will take and how this will fit in with

the project schedule

(d) identifying the implications of delays, failure to apply for and

achieve consent and circulating the information to stakeholders

(e) managing the submission of a clear and valid application for the

consent (f) managing negotiations with statutory authorities to secure

consents

(g) planning and agreeing alternatives with stakeholders in

anticipation of approval being refused

Range

1 Consents for:

(a) development and use of land

(b) structures

(c) buildings and highways

(d) renewal and clearance

(e) health, safety and welfare

(f) funding applications

2 Applications — may be:

(a) written

(b) graphic

3 Stakeholders:

(a) internal

(b) external

4 Alternatives:

(a) amending the brief

(b) amending the proposal

(c) appealing

(d) withdrawing the application







the Element.



which they apply.

Product Evidence








1 Record(s) of aspects of project(s) identified as subject to statutory

controls and which will need consents. (a) [1]

2 Record(s) of checks made with authorities about the

requirements, procedures and likely timescale for statutory

approvals and other consents. (b) [1]

3 Record(s) of information circulated to stakeholders which

contains a forecast of the time needed for the submission and

approval of applications for consent and the implications of

delays, failure to apply for and achieve consent. (c,d) [1,2,3]


4 Application(s) for consent, including record(s) of any negotiations with

statutory authorities. (e,f) [1,2]

Simulations are considered to be acceptable for producing evidence for the

following item(s) that are considered to be rare, but key/critical to

demonstrating competence. The following conditions of realism should be

present: contingencies; communication methods and media; information

and data.

5 Record(s) of alternatives agreed in anticipation of approval being

refused. (g) [4]

Process Evidence

None applicable.









1 How and why do you identify aspects of the project which are

subject to statutory controls and will need consents? (synthesis)

(a) [1]

2 How do you check and confirm with the relevant authorities the

requirements, current procedures and likely timescale for statutory

approvals and other consents? (application) (b) [1]

3 How and why do you forecast how long the submission and

approval of applications for consent will take and how this will

fit in with the project schedule? (analysis) (c) [1,2]

4 How do you circulate information about the implications of

delays, failure to apply for and achieve consent to stakeholders?

(application) (d) [1,3,4]

5 How and why do you identify the implications of delays?

(synthesis) (d) [1,4]

6 How and why do you manage the submission of a clear and valid

application for the consent and any negotiations with statutory

authorities to secure consent? (application) (e,f) [1,2]

7 How and why do you plan alternatives with the stakeholder(s) in

anticipation of approval being refused? (synthesis) (g) [3,4]

8 How and why do you agree alternatives with the stakeholder(s)

in anticipation of approval being refused? (evaluation) (g) [3,4]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 3a 3b 4a 4b 4c 4d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O07.3 Negotiate and agree a project design


This involves:

(a) providing stakeholders with enough relevant and accurate

information at the right time to agree a project design

(b) assessing and justifying the features and benefits of the

recommended project design solution

(c) comparing the recommended project design with the

requirements of the project design brief and justifying its

selection

(d) confirming with stakeholders what the recommended project

design solution will cost, how long it will take to implement and

the key time deadlines

(e) reaching an agreement on the project design solution which is

acceptable to stakeholders and which allows the project to

progress

Range

1 Stakeholders:

(a) internal

(b) external

2 Recommended project design — consists of:

(a) sketches

(b) drawings

(c) physical models

(d) computer generated data

(e) diagrams

(f) mathematical modelling

(g) photo-montage

(h) mock-ups

(i) written reports

(j) cost estimates

(k) programming

(l) cash analysis

(m) outline approvals from regulatory authorities







the Element.



which they apply.

Product Evidence








1 Information provided to stakeholders. (a) [1]

2 Records of assessment(s) and justification(s) of recommended

design solutions. (b,c) [1,2]

3 Record(s) of an agreement on the project design solution

following confirmation of cost and time implications. (d,e) [all]


for this Element.


Process Evidence

None applicable.









1 How do you provide project stakeholders with enough relevant

and accurate information at the right time to agree a project

design? (application) (a) [1]

2 How do you confirm with stakeholders what the recommended

project design solution will cost, how long it will take to

implement and the key time deadlines? (application) (d) [1,2]

3 How and why do you assess the features and benefits of the

recommended project design solution? (analysis) (b) [1,2]

4 How and why do you compare the recommended project design

solution with the requirements of the detailed design brief?

(synthesis) (c) [2]

5 How and why do you justify the features and benefits of the

recommended project design solution? (evaluation) (b) [2]

6 How and why do you reach an agreement on the recommended

project design solution which is acceptable to stakeholders and

which allows the project to progress? (evaluation) (e) [1,2]




Range

No Description of Evidence 1a 1b 2a 2b 2c 2d 2e 2f 2g 2h 2i 2j 2k 2l 2m






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O08 (F07T 04) Establish and Implement Project Partnering


CCM5/O08.1 Establish project partnering

CCM5/O08.2 Agree and trial alignment of systems with partners

CCM5/O08.3 Monitor and control arrangements for project partnering

CCM5/O08.4 Plan project activities and resources to meet project requirements

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for establishing partnerships and for monitoring their performance.

Element 8.1 is about considering which partners should make up a project team, selecting potential partners, and negotiating partnership agreements.

Element 8.2 covers agreeing what partnering systems the project will use, trialling those systems and modifying them accordingly.

Element 8.3 deals with implementing the chosen project systems, and monitoring and improving them.

Element 8.4 covers the setting up of project programming and monitoring systems. Candidates choosing this Unit may wish to link this Element to C03.3

when collecting evidence.



Element O08.1 Establish project partnering


This involves:

(a) identifying and confirming with stakeholders the areas and

objectives for project partnering

(b) forming a selection panel of stakeholders for assessing potential

partners and identifying selection criteria

(c) providing information to potential partners and inviting them to

submit a statement of their capabilities

(d) evaluating the potential partners using the selection criteria and

agreeing the short-listed potential partners

(e) interviewing the short-listed potential partners to assess their

suitability for, and commitment to, the project

(f) selecting and confirming the project partners with stakeholders

(g) negotiating agreements and contracts with project partners

(h) conducting workshops for project partners to facilitate team

working and agreeing individual and mutual project objectives

and problem solving arrangements

Range

1 Areas:

(a) design

(b) construction

(c) supply

2 Objectives:

(a) agreed quality

(b) agreed time

(c) agreed cost

(d) respect for people (including health, safety, welfare and the

environment)

3 Partnering:

(a) co-operative action

(b) sharing knowledge

(c) problem resolving structure

(d) continuous improvement

(e) performance measurement

(f) risk management

(g) value management

4 Stakeholders:

(a) internal

(b) external




Range (cont)

5 Partners:

(a) client

(b) consultants

(c) contractors

(d) subcontractors

(e) suppliers

(f) other key stakeholders

6 Selection criteria:

(a) cost

(b) quality

(c) time

(d) organisational experience

(e) performance measurement

(f) health, safety, welfare and environmental policy

(g) staff competence and development

(h) commitment to partnering

7 Information:

(a) administration details

(b) scope of work

(c) budget

(d) information required from partners

(e) selection criteria and weightings






they apply.

Product Evidence








1 Record(s) of confirmed areas and objectives for project partnering. (a)

[1,2,3]

2 Record(s) of selection panel(s) and identified selection criteria for

potential partners. (b) [4,5,6]

3 Record(s) of evaluated and selected project partners. (c,d,e,f) [4,5,6,7]

4 Agreement(s) and contract(s) with project partners. (g) [5]

5 Record(s) of project partner workshops and agreements on project

objectives and problem solving arrangements. (h) [2,3,5]






for this Element.

Process Evidence

None applicable.






1 What do you identify as the areas and objectives for project

partnering? (understanding) (a) [1,2,3]

2 How do you confirm with the stakeholders the areas and objectives

for project partnering? (application) (a) [1,2,3]

3 How and why do you agree individual and mutual project objectives?

(evaluation) (h) [2,3,5]

4 How do you conduct workshops for project partners to facilitate team

working? (application) (h) [3,5]

5 How and why do you select the project partners? (evaluation) (f) [5,6]

6 How do you provide information to potential partners and invite

them to submit a statement of their capabilities? (application) (c) [5,7]

7 How and why do you form a selection panel of stakeholders for

assessing potential partners? (synthesis) (b) [4,5,6]

8 How and why do you identify selection criteria for assessing potential

partners? (understanding) (b) [4,5,6]

9 How do you confirm the project partners with stakeholders?

(application) (f) [4,5]

10 How and why do you interview the short-listed potential partners to

assess their suitability for and commitment to the project? (analysis)

(e) [5]

11 How and why do you evaluate and agree the potential partners using

the selection criteria? (evaluation) (d) [5,6]

12 How and why do you negotiate agreements and contracts with project

partners? (synthesis) (g) [5]




Range

No Description of Evidence 1a 1b 1c 2a 2b 2c 2d 3a 3b 3c 3d 3e 3f 3g 4a 4b 5a 5b 5c 5d 5e 5f 6a 6b 6c 6d 6e 6f 6g 6h 7a 7b 7c 7d 7e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O08.2 Agree and trial alignment of systems with partners


This involves:

(a) specifying and agreeing with partners the ways in which systems

will be managed and aligned

(b) identifying and agreeing, with all stakeholders, the changes to

systems which are necessary to meet technical and quality

requirements

(c) developing and implementing appropriate trials, identifying any

problems and assessing the results and making appropriate

modifications before moving to full implementation

(d) checking that the alignment of systems conforms to the

requirements of data protection legislation

Range

1 Partners:

(a) client

(b) consultants

(c) contractors

(d) subcontractors

(e) suppliers


2 Systems:

(a) design

(b) commercial

(c) health and safety

(d) key performance indicators

3 Stakeholders:

(a) internal

(b) external







the Element.



which they apply.

Product Evidence








1 Specification(s) and agreement(s) for the management and

alignment of systems, including any necessary changes to the

systems. (a,b) [1,2,3]

2 Record(s) of trials, and any resultant modifications made to the

systems. (c) [2]

3 Record(s) of checks made to the alignment of systems. (d) [2]


for this Element.


Process Evidence

None applicable.









1 How and why do you specify and agree with partners the ways

in which systems will be managed and aligned? (evaluation) (a)

[1,2]

2 How do you identify any problems from trials? (understanding)

(c)

3 How do you implement appropriate trials, and make appropriate

modifications before moving to full implementation?

(application) (c)

4 How do you check that the alignment of systems conforms to the

requirements of data protection legislation? (application) (d) [2]

5 How and why do you assess the results of trials? (analysis) (c)

6 How and why do you develop appropriate trials? (synthesis) (c)

7 How and why do you identify and agree with stakeholders the

changes to systems which are necessary to meet technical and

quality requirements? (evaluation) (b) [3]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 3a 3b






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O08.3 Monitor and control arrangements for project partnering


This involves:

(a) reviewing the terms of contract regularly, and assessing whether

there are continued benefits to the partners

(b) monitoring the performance of partners against agreed standards

and quantifying any variations in performance

(c) informing partners about variations in performance from contract

terms, and providing them with advice and information about the

changes needed and the time allowed to make the changes

(d) investigating persistent variations and major problems, identifying

likely causes and informing everyone affected

(e) monitoring existing partnering arrangements against alternative

supply chain options regularly and reviewing the relative benefits

and advantages

Range

1 Partners:

(a) clients

(b) consultants

(c) contractors

(d) subcontractors

(e) suppliers


2 Monitoring — methods:

(a) in-house reporting

(b) consultant

(c) computer

(d) manual







the Element.



which they apply.

Product Evidence








1 Records of review(s) of partnership terms of contract. (a) [1]

2 Record(s) of supplier performance monitoring including

variations and advice and information about changes. (b,c) [1,2]

3 Record(s) of investigation(s) of variations and problems. (d) [3]

4 Record(s) of monitoring existing partnering arrangements against

alternative supply chain options and reviewing the relative

benefits and advantages. (e) [1,2]



this Element.

Process Evidence

None applicable.









1 How and why do you review the terms of contract and assess

whether there are continued benefits to the partners? (analysis)

(a) [1]

2 How do you inform partners about variations in performance?

(application) (c) [1]

3 How and why do you monitor the performance of partners

against agreed standards, and investigate and identify the likely

cause of any variations in performance? (analysis) (b,d) [1,2]

4 How do you inform everyone affected by persistent variations and

major problems? (application) (d) [1,2]

5 How and why do you investigate persistent variations and major

problems? (analysis) (d) [3]

6 How and why do you monitor existing partnering arrangements?





Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O8.4 Plan project activities and resources to meet project requirements


This involves:

(a) confirming major activities and the resources needed from the

information available and the preparation of a draft project

programme (b) analysing the activities against project requirements and the

requirements of significant external factors

(c) ensuring that detailed programmes and schedules of planned

activities are produced which are consistent with the complexity

of the project

(d) confirming alterations to the project programme which will meet

changed circumstances or offer cost and time benefits

(e) developing and implementing a system for monitoring the project

programme, and using the results to improve future production

and planning

Range

1 Resources:

(a) consultants



(d) sub-contractors

2 Programmes and schedules:

(a) written

(b) graphic

(c) electronic

3 Project requirements:

(a) contract conditions

(b) contract programme stipulations

(c) statutory consent

(d) Building Control notification

(e) third party obligations

(f) health and safety requirements

4 External factors:

(a) other related programmes

(b) supply lead times

(c) contingencies

(d) special working conditions

(e) seasonal weather conditions

(f) statutory limitations







the Element.



which they apply.

Product Evidence








1 Draft project programme(s). (a) [1,2]

2 Detailed programme(s) and schedule(s). (b,c,d,e) [all]

3 Alterations to works programme(s) with savings confirmed. (d)

[2]

4 Records of system(s) developed and implemented for monitoring

works programmes which include an analysis of results to

improve future production and planning. (e) [2,4]



this Element.

Process Evidence

None applicable.









1 How do you confirm major activities and resources needed, from

the information available and the preparation of a project draft

programme? (application) (a) [1,2]

2 How do you confirm alterations of the work programmes which

will meet changes circumstances or offer cost and time benefits?


3 How do you implement a system for monitoring the works

programme? (application) (e) [2]

4 How do you develop a system for monitoring the works

programme? (synthesis) (e) [2]

5 How do you use the results of monitoring to improve future

production and planning? (application) (e) [2,3,4]

6 How do you ensure that detailed programmes and schedules of

planned activities are produced? (application) (c) [2]

7 How and why do you analyse the activities against project

requirements and the requirements of significant external

factors? (analysis) (b) [4,5,6]




Range

No Description of Evidence 1a 1b 1c 1d 2a 2b 2c 3a 3b 3c 3d 3e 3f 4a 4b 4c 4d 4e 4f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O09 (F082 04) Manage Invited Tenders


CCM5/O09.1 Establish criteria for and invite potential tenderers

CCM5/O09.2 Select and accept successful estimates, bids and tenders and negotiate changes

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for inviting tenders from subcontractors and suppliers, evaluating them and concluding

contracts with the successful tenderers.

Note: In this Unit, the term ‘tender’ covers tenders, bids, packages and estimates. This allows candidates to produce valid evidence from the widest range of

sources.

Element 9.1 covers the selection of those to be invited to tender, and agreement on the selection criteria for choosing the successful tenderer.

Element 9.2 is about evaluating the tenders received, choosing the successful tenderer, and negotiating any changes with the tenderer.



Element O09.1 Establish criteria for and invite potential tenderers


This involves:

(a) selecting an appropriate type of tender and deciding which

potential tenderers could meet the contract specification

(b) deciding how many tenders to invite, taking into account the

value and size of the contract

(c) ensuring invitations are sent to potential tenderers

(d) choosing selection criteria which are suitable to weight and rate

performance for the type of work described in the tender

(e) confirming potential tenderers who respond to the invitation

against the selection criteria, placing them in rank order and

choosing the number needed

(f) reviewing the tender documents for clarity and

comprehensiveness in order to minimise the potential for disputes

(g) issuing tender documents to all tenderers on the agreed list,

following the agreed procedures

Range

1 Tender:

(a) competitive

(b) negotiated

2 Tenderers:

(a) contractors

(b) sub/works/trade contractors

(c) suppliers

(d) consultants

3 Selection criteria:

(a) quality and delivery record

(b) perceived added value (including reputation of potential

contractors)

(c) acceptability of known sub-contracting arrangements

(d) acceptability to client

(e) financial resources

(f) references from previous clients and bankers

(g) health and safety

(h) competence of people

(i) resources (people, materials, facilities)

(j) insurance

(k) environmental policy and management







the Element.



which they apply.

Product Evidence








1 Record(s) of invitations to tender sent. (a,b,c,g) [1,2]

2 Evaluation(s) of tenders. (d,e,f) [all]

3 Tender documents. (g) [1,2]


for this Element.


Process Evidence

None applicable.









1 How and why do you decide how many tenders to invite?

(evaluation) (b) [1]

2 How and why do you select an appropriate type of tender and

decide which potential tenderers could meet the contract

specification? (evaluation) (a) [1,2]

3 How and why do you choose selection criteria which are suitable

for the type of work described in the tender? (evaluation) (d)

[1,3]

4 How do you confirm potential tenderers who respond to the

invitation against the selection criteria? (application) (e) [2,3]

5 How do you ensure invitations are sent to potential tenderers?

(application) (b,c) [1,2]

6 How and why do you place potential tenderers in rank order?

(analysis) (e) [2,3]

7 How and why do you choose the number of tenderers needed?

(evaluation) (e) [2,3]

8 How do you review the tender documents for clarity and

comprehensiveness? (analysis) (f) [1]

9 How do you issue tender documents to all tenderers on the

agreed list? (application) (g) [1,2]




Range

No Description of Evidence 1a 1b 2a 2b 2c 2d 3a 3b 3c 3d 3e 3f 3g 3h 3i 3j 3k






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O09.2 Select and accept successful estimates, bids and tenders and negotiate changes


This involves:

(a) evaluating the compliant tenders and choosing the tender which

best meets the criteria

(b) checking that the successful tenderer can meet the obligations of

the contract and recommending a preferred tender

(c) negotiating and agreeing any variations, adjustments and

corrections with the successful tenderer and confirming them in

writing, subject to contract

(d) accepting the successful tender formally and politely notifying

tenderers who have been unsuccessful about the result

(e) arranging for the contract to be signed

Range

1 Tenders:

(a) competitive

(b) negotiated

2 Criteria:

(a) quality

(b) technical viability

(c) timescale

(d) cost (budgets, rates)

(e) loading and cash flow

(f) policies which offer added value

(g) comparative criteria (eg price indices, databases, trade journals,

pre-tender estimates)

(h) competence of people

3 Variations, adjustments and corrections:

(a) price

(b) quantity

(c) quality

(d) completion

(e) maintenance

(f) method of payment

(g) contract conditions

(h) scope of service







the Element.



which they apply.

Product Evidence








1 Evaluation(s) of selected tenders and amendments and checks that

the successful tenderer can meet the obligations of the contract.

(all) [all]

2 Record(s) of negotiations including variations, adjustments and

corrections agreed. (c) [3]

3 Record(s) of notifications to tenderers. (d) [1]

4 Signed contract(s). (e) [all]



this Element.

Process Evidence

None applicable.









1 How and why do you evaluate the compliant tenders and choose

the tender which best meets the criteria? (evaluation) (a) [1,2]

2 How do you check that the successful tenderer can meet the

obligations of the contract? (application) (b) [2]

3 How and why to you recommend a preferred tender? (synthesis)

(b) [1]

4 How do you notify tenderers who have been unsuccessful about

the result? (application) (d) [2]

5 How and why do you accept the successful tender formally?

(evaluation) (d) [1]

6 How and why do you negotiate any variations, adjustments and

corrections with the successful tenderer? (synthesis) (c) [2,3]

7 How and why do you agree any variations, adjustments and

corrections with the successful tenderer? (evaluation) (c) [2,3]

8 How do you arrange for the contract to be signed? (application)

(e) [all]




Range

No Description of Evidence 1a 1b 2a 2b 2c 2d 2e 2f 2g 2h 3a 3b 3c 3d 3e 3f 3g 3h






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O10 (F07V 04) Manage and Submit Tenders


CCM5/O10.1 Evaluate estimate, bid and tender enquiries

CCM5/O10.2 Confirm the resource requirements and costs within an estimate, bid and tender

CCM5/O10.3 Finalise and submit a tender offer

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for managing the process of preparing and submitting tenders.

Note: In this Unit, the term ‘tender’ covers tenders, bids and estimates. This allows candidates to produce valid evidence from the widest range of sources.

Element 10.1 is about evaluating the tender enquiry, and deciding whether or not to bid.

Element 10.2 is about managing the tender and also confirming the resources needed and the cost of doing the work.

Element 10.3 is about evaluating the risks and opportunities in the potential project, deciding on the margins and payment details, and overseeing the final

preparation of the tender. This includes pre-qualification activities and the submission of final tenders.



Element O10.1 Evaluate estimate, bid and tender enquiries


This involves:

(a) checking, summarising and confirming the tender details and

tender requirements and confirming them

(b) identifying and reviewing any points of concern in the tender

and referring them for clarification and resolution

(c) evaluating the tender documents against the bidder’s criteria

and assessing whether the organisation is capable of meeting the

tender requirements and has enough resources to do so

(d) identifying and assessing any contractual and legal issues which

might affect the project

(e) drawing accurate conclusions about tender requirements within

the limits of the tender information which is available, and which

provide an objective basis for making a decision on whether to

make a bid

Range

1 Tender — type:

(a) contractor

(b) sub/works/trade contractor

(c) supply

(d) consultancy

(e) purchase

2 Tender requirements:

(a) construction

(b) installation and maintenance work

(c) supply of goods and materials

(d) consultancy services

3 Points of concern:

(a) incomplete enquiry information

(b) inconsistencies with the policy of the organisation

(c) discrepancies within enquiry information

(d) unclear enquiry information

(e) tender procedure requirements

(f) quantitative requirements

(g) qualitative requirements




Range (cont)

4 Tender documents — type:

(a) invitation to tender

(b) form of tender

(c) returns procedure

(d) survey reports

(e) specifications

(f) drawings

(g) schedules

(h) bills of quantities

(i) health and safety plans

(j) scope of services

(k) terms and conditions

(l) schedule of rates

5 Bidder’s criteria:

(a) financial

(b) viability of tendering information

(c) current workload

(d) type of work

(e) competence of people

(f) timescale

(g) social policies

(h) environmental impact

(i) location

(j) potential completion

Range (cont)

6 Legal issues:

(a) planning

(b) health and safety

(c) environmental

(d) ownership

(e) common law rights

(f) European Union requirements







the Element.



which they apply.

Product Evidence








1 Evaluation(s) of tender documents which include tender details

and requirements, points of concern, assessment of capability to

meet the requirements, contractual and legal issues, conclusions.

(all) [all]


for this Element.


Process Evidence

None applicable.









1 How do you check, summarise and confirm the tender details and

tender requirements? (application) (a) [1,2]

2 How and why do you identify any points of concern in the

tender? (understanding) (b) [1,3]

3 How do you refer any points of concern in the tender for

clarification and resolution? (application) (b) [1,3]

4 How and why do you review any points of concern? (analysis)

(b) [1,2,3]

5 How and why do you assess whether the organisation is capable

of meeting the tender requirements and has enough resources to

do so? (analysis) (c) [2,5]

6 How and why do you evaluate the tender documents?

(evaluation) (c) [4]

7 How do you draw accurate conclusions about tender

requirements? (evaluation) (e) [1,2,4,5]

8 What do you identify as contractual and legal issues which might

affect the project? (understanding) (d) [6]

9 How and why do you assess any contractual and legal issues

which might affect the project? (analysis) (d) [6]




Range

No Description of Evidence 1a 1b 1c 1d 1e 2a 2b 2c 2d 3a 3b 3c 3d 3e 3f 3g 4a 4b 4c 4d 4e 4f 4g 4h 4i 4j 4k 4l




Range (cont)

No Description of Evidence 5a 5b 5c 5d 5e 5f 5g 5h 5i 5j 6a 6b 6c 6d 6e 6f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O10.2 Confirm the resource requirements and costs within an estimate, bid and tender


This involves:

(a) confirming a proposed method statement and programme which

meet the tender requirements

(b) confirming that the necessary resources will be available and

presenting the information so that the requirements can be costed

and planned

(c) modifying the cost to take into account any external factors

which may affect the cost projections

(d) confirming the overall estimate of costs and that it is complete,

accurate and in a form which is suitable for a judgement to be

made

(e) confirming payment schedules which will meet known cash flow

requirements

Range


(a) construction




(e) purchase

2 Resources - type:

(a) people (in-house, external)


(c) materials

(d) finance

(e) time

(f) supply options

3 External factors:

(a) variations over time

(b) location

(c) statutory and contractual requirements

(d) working conditions and methods

(e) resourcing conditions

(f) competition







the Element.



which they apply.

Product Evidence








1 Method statement(s) and programme(s). (a) [1]

2 Estimate(s) of costs. (b,c,d) [2,3]

3 Payment schedules. (e) [3]


for this Element.

Process Evidence

None applicable.






1 How do you confirm a proposed method statement and programme

which meet the tender requirements? (application) (a) [1]

2 How do you present information about resource availability so that the

requirements can be costed and planned? (application) (b) [2]

3 How and why do you confirm that necessary resources will be

available? (synthesis) (b) [2]

4 How do you confirm the overall estimate of costs and that it is

complete, accurate and in a form which is suitable for a judgement to

be made? (application) (d) [2,3]

5 How do you modify the cost to take into account any external factors

which may affect the cost projections? (application) (c) [3]

6 How do you confirm payment schedules? (application) (e) [2,3]




Range

No Description of Evidence 1a 1b 1c 1d 1e 2a 2b 2c 2d 2e 2f 3a 3b 3c 3d 3e 3f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O10.3 Finalise and submit a tender offer


This involves:

(a) identifying and evaluating, realistically, the risks and

opportunities involved in a successful tender offer

(b) identifying and specifying alternatives and qualifications to the

original tender requirements which may improve the

organisation’s ability to carry out the work

(c) applying a profit margin and payment schedule which meets the

objectives and strategy of the organisation

(d) checking that the tender offer is complete and accurate and

conforms to house style, and making any necessary modifications

(e) presenting and submitting the tender offer in a manner which

maximises its acceptability

(f) submitting tender offer information in accordance with

procurement requirements

Range

1 Risks and opportunities:

(a) environmental

(b) financial and market

(c) political

(d) technical

(e) health and safety

(f) reputation

(g) competence of people

2 Tender offer:

(a) contractor

(b) sub/works/trade contractor

(c) supply

(d) consultancy

(e) purchase

3 Alternatives and qualifications:

(a) specifications and materials

(b) methods of construction

(c) services

(d) time-scales

(e) supply options

(f) price offer options




Range (cont)


(a) construction




5 Presenting:

(a) orally

(b) in writing

(c) graphically

(d) electronically






they apply.

Product Evidence








1 Tender offer(s). (all) [all]

2 Record(s) of presentation(s) and support of tender offer(s) which

include evaluations of risks and opportunities, specified alternatives,

profit margin, payment schedule. (e) [2,5]


this Element.





Process Evidence

None applicable.






1 How do you identify the risks and opportunities involved in a

successful tender offer? (understanding) (a) [1,2]

2 How do you evaluate the risks and opportunities involved in a

successful tender offer? (evaluation) (a) [1,2]

3 How and why do you check that the tender offer is complete and

accurate and conforms to house style and make any necessary

modifications? (application) (d) [2]

4 How do you submit tender offer information? (application) (f) [2]

5 How do you apply a profit margin and payment schedule which meets

the objectives and strategy of the organisation? (application) (c) [3]

6 How and why do you identify and specify alternatives and

qualifications to the original tender requirements? (evaluation) (b)

[3,4]

7 How do you present and submit the tender offer? (application) (e,f)

[2,5]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 2a 2b 2c 2d 2e 3a 3b 3c 3d 3e 3f 4a 4b 4c 4d 5a 5b 5c 5d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O11 (F08B 04) Prepare and Agree Contracts


CCM5/O11.1 Prepare and modify forms of contract

CCM5/O11.2 Negotiate and finalise contracts

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for deciding on the forms of contract to use for projects, agreeing details, and concluding

contracts with subcontractors and suppliers.

Element 11.1 is about selecting forms of contract and amending them as necessary.

Element 11.2 covers negotiating final details with subcontractors and suppliers and finalising the payment processes.



Element O11.1 Prepare and modify forms of contract


This involves:

(a) selecting forms of contract, contract clauses and documents

which are up-to-date and suitable for the form of procurement

proposed

(b) amending standard forms of contract so that the contract is

suitable for the proposed form of procurement

(c) drafting particulars and preliminaries which accurately describe

the needs of all the people involved in the form of contract

(d) checking that contract clauses, appendices and amendments meet

statutory requirements

(e) obtaining necessary checks and approvals for the draft forms of

contract

Range

1 Forms of contract:

(a) standard

(b) non standard

2 Form of procurement:

(a) competitive tender — limited competition, open competition

(including advertising)

(b) non-competitive — negotiation, serial award

(c) partnering agreement

3 Amending and drafting:

(a) allocation of risks and responsibilities

(b) structure of contract

(c) key instructions

(d) legal factors







the Element.



which they apply.

Product Evidence








1 Forms of contract, contract clauses and documents which include

amendments suitable for the form of procurement, particulars,

preliminaries, and appendices. (all) [all]


for this Element.


Process Evidence

None applicable.









1 How do you check that contract clauses, appendices and

amendments meet statutory requirements? (application) (d) [1]

2 How do you obtain necessary checks and approvals for the draft

forms of contract? (application) (e) [1]

3 How and why do you select forms of contract, contract clauses

and documents? (evaluation) (a) [1,2]

4 How do you amend standard forms of contract so that the contract

is suitable for the proposed form of procurement? (application)

(b) [all]

5 How and why do you draft particulars and preliminaries?

(evaluation) (c) [1,3]




Range

No Description of Evidence 1a 1b 2a 2b 2c 3a 3b 3c 3d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O11.2 Negotiate and finalise contracts


This involves:

(a) negotiating contracts using a style and manner which maintains

good long term relationships with all the people involved in the

contract (b) negotiating and agreeing the best possible supply position,

contract terms, conditions and amendments

(c) recording the results of negotiations accurately and passing the

information on, promptly in accordance with legal requirements,

to all the people involved in the contract

(d) confirming accurate copies of the final contract documents,

checking that they meet legal requirements and arranging for

them to be signed

(e) identifying the obligations of the parties to the contract and

obtaining valid, written proof that they can meet the obligations

(f) confirming that adequate insurance cover is in place to safeguard

the contract

(g) specifying and agreeing how payments for contracts will be

made

(h) ensuring that all the contract documents are complete

(i) arranging for the contract to be signed

Range

1 Contracts — type:

(a) main contract

(b) sub-contract

(c) lump sum

(d) design and construct

(e) schedule based

(f) prime cost based

(g) hybrid

(h) firm price

(i) fluctuating price

(j) labour and materials

(k) labour only

(l) goods and materials supply only

(m) service contracts

(n) design warranties

2 People involved in the contract:

(a) employers

(b) main contractors

(c) domestic and nominated sub-contractors

(d) works/specialist contractors

(e) consultants

(f) third parties




Range (cont)

3 Amendments:

(a) allocation of risks and responsibilities

(b) structure of contract

(c) key instructions

(d) legal factors

4 Legal requirements:

(a) statutes

(b) regulations, including European Union regulations

(c) codes of practice and procedure

(d) common law

5 Contract documents:

(a) invitation to tender

(b) forms of tender

(c) returns procedure

(d) specifications

(e) survey reports

(f) drawings

(g) schedules

(h) bills of quantities

(i) health and safety plans

(j) scope of services

(k) terms and conditions

(l) schedules of rates

Range (cont)

6 Obligations:

(a) insurances

(b) bonds

(c) warranties

(d) statutory

(e) financial guarantees

(f) competence of people







the Element.



which they apply.

Product Evidence








1 Record(s) of contract negotiations. (a,b,c,g) [1,2,3,4]

2 Signed contract document(s). (d,g,h,i) [1,2,4,5]

3 Written proof of ability of parties to meet contract obligations. (e)

[1,6]

4 Record(s) of insurance cover. (f) [6]


for this Element.


Process Evidence

None applicable.









1 How and why do you negotiate contracts? (synthesis) (a) [1,2]

2 How and why do you negotiate the best possible supply position,

contract terms, conditions and amendments? (synthesis) (b)

[1,3]

3 How and why do you agree the best possible supply position,

contract terms, conditions and amendments? (evaluation) (b)

[1,3]

4 How do you record and pass on information about the results of

negotiations accurately? (application) (c) [2,4]

5 How do you confirm accurate copies of the final contract

documents, check that they meet legal requirements and arrange

for them to be signed? (application) (d) [4,5]

6 How do you ensure that all the contract documents are complete

and arrange for them to be signed? (application) (h,i) [5]

7 What do you identify as the obligations of the parties to the

contract? (understanding) (e) [1,2,6]

8 How do you obtain valid, written proof that the parties to the

contract are able to meet the obligations? (application) (e) [1,2,6]

9 How do you confirm that adequate insurance cover is in place to

safeguard the contract? (application) (f) [1,6]

10 How and why do you specify and agree how payments for

contracts will be made? (evaluation) (g) [1,2,5]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 1k 1l 1m 1n 2a 2b 2c 2d 2e 2f 3a 3b 3c 3d 4a 4b 4c 4d




Range (cont)

No Description of Evidence 5a 5b 5c 5d 5e 5f 5g 5h 5i 5j 5k 5l 6a 6b 6c 6d 6e 6f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O12 (F080 04) Manage Financial Expenditure and Recovery


CCM5/O12.1 Update budget and cash flow projections

CCM5/O12.2 Manage valuations and income due

CCM5/O12.3 Manage claims for reimbursement for loss and expense

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for managing the preparation of budget and cash flow projections, managing valuations and

income due, and managing expenditure and recovery schedules. The Unit builds on core Element C03.4.

Element 12.1 is about updating budgets and cash flow plans, dealing with contingencies, and keeping people informed.

Element 12.2 covers managing valuations for payments due and recovering outstanding monies.

Element 12.3 deals with assessing the basis of claims, managing their preparation and agreeing their outcomes. ‘Claims’ in this Element could be either

claims made by you on your client, subcontractors, suppliers or third parties, or claims made on you by your client, subcontractors, suppliers or third parties.



Element O12.1 Update budget and cash flow projections


This involves:

(a) monitoring and auditing allocated budgets and accurately

calculating fluctuations in financial performance

(b) managing cash flow projections against actual income and

expenditure

(c) recommending ways of dealing with variances and

contingencies so that decisions be made

(d) taking appropriate corrective action promptly and informing

people about the changes that are required to allocated budgets

(e) investigating the reasons for variances and contingencies and

taking action which will prevent them happening again

(f) informing interested parties about actions which will require

major restructuring of allocated budgets and cash flow

projections (g) updating allocated budgets accurately and reissuing them to

people who have financial responsibilities

Range

1 Budgets:

(a) earned income

(b) employment costs

(c) capital plant and equipment

(d) materials

(e) liabilities

(f) subcontract costs

(g) consumables

2 Cash flow projections:

(a) income receivable

(b) expenditure

3 Variances:

(a) overspend

(b) underspend

(c) changes in value of the work

4 Contingencies:

(a) delays in receivables

(b) project and contract delays

(c) interruptions

5 Interested parties:

(a) colleagues

(b) financial providers







the Element.



which they apply.

Product Evidence








1 Record(s) of monitored and audited budgets which include

calculated fluctuations and cash flow projections. (a,b) [1,2]

2 Recommendation(s) about ways of dealing with variances and

contingencies which include investigations and corrective action.

(c,d,e) [1,3,4]

3 Information provided to interested parties about restructuring of

allocated budgets and cash flow projections. (f) [1,2,5]

4 Updated budget(s). (g) [1,5]



this Element.

Process Evidence

None applicable.









1 How do you calculate fluctuations in financial performance?

(application) (a) [1]

2 How do you take appropriate corrective action promptly and

inform staff about the changes that are required to allocated

budgets? (application) (d) [1,4,5]

3 How do you update allocated budgets and reissue them to staff

who have financial responsibilities? (application) (g) [1,5]

4 How and why do you monitor and audit allocated budgets?

(analysis) (a) [1]

5 How and why do you inform interested parties about actions

which will require major restructuring of allocated budgets and

cash flow projections? (application) (f) [1,2,5]

6 How and why do you manage cash flow projections against

actual income and expenditure? (evaluation) (b) [2]

7 How do you investigate the reasons for variances and

contingencies? (understanding) (e) [3,4]

8 How do you take action to prevent variances and contingencies

happening again? (application) (e) [3,4]

9 How and why do you recommend ways of dealing with variances

and contingencies? (synthesis) (c) [3,4]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 2a 2b 3a 3b 3c 4a 4b 4c 5a 5b






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O12.2 Manage valuations and income due


This involves:

(a) agreeing accurate valuations and accounts which contain

relevant background information and clarifying and justifying

areas of potential disagreement

(b) recording information about payments due and calculating the

total income due under the contract

(c) identifying payments which are outstanding

(d) taking prompt action to recover outstanding debts and

retentions in a manner which maintains the goodwill and trust of

the client

Range

1 Valuations and accounts:

(a) interim payment

(b) final accounts

2 Payments:

(a) agreed fees

(b) quantification of work completed

(c) agreed recoverable expenses

(d) VAT

(e) retentions

(f) credit notes

3 Action to recover outstanding debts and retentions:

(a) re-invoicing

(b) negotiation

(c) legal action







the Element.



which they apply.

Product Evidence








1 Record(s) of valuations and accounts and payments due. (a,b,c)

[3,4]

2 Record(s) of action taken to recover outstanding debts. (d) [3]


for this Element.

Process Evidence

None applicable.






1 How do you clarify areas of potential disagreement with valuations

and accounts? (application) (a) [1]

2 How and why do you agree accurate valuations and accounts and

justify areas of potential disagreement? (evaluation) (a) [1]

3 How do you record information about payments due and calculate the

total income due under the contract? (application) (b) [2]

4 What do you identify as payments which are outstanding?

(understanding) (c) [2]

5 How do you take prompt action to recover outstanding debts and

retentions? (application) (d) [3]




Range

No Description of Evidence 1a 1b 2a 2b 2c 2d 2e 2f 3a 3b 3c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O12.3 Manage claims for reimbursement for loss and expense


This involves:

(a) assessing the basis of claims and criteria for recovery against the

contract, seeking relevant expert opinion, and progressing valid

claims which can be substantiated

(b) ensuring that claims are accurately calculated and appropriately

structured from relevant and verified information sources

(c) identifying the liability for the cost of re-work and additional

work, agreeing the liability with the people involved in the

contract and agreeing the rates and quantities to meet

organisation and contractual requirements

(d) negotiating and agreeing amendments to claims with the people

involved in the contract

(e) conducting negotiations with the people involved in the contract

in a way which maintains their goodwill and trust

(f) recording documents, back-up information and calculations

accurately, referencing them clearly and storing them so that they

can be easily retrieved for audit and reference

Range

1 Claims — resulting from:

(a) measurement

(b) valuation of variations

(c) liability for costs

(d) loss and expense arising from breaches of contract

(e) extensions of time

(f) damages arising from extra-contractual consideration

2 Contract — type:

(a) main contract

(b) sub-contract

(c) suppliers

3 Information sources:

(a) contract documents

(b) contract records







the Element.



which they apply.

Product Evidence








1 Record(s) of progressed valid claims. (a) [1,2,3]

2 Record(s) of negotiated claims which include back-up

information, calculations, and agreement of amendments.

(b,c,d,e,f) [1,2,4,5]


for this Element.


Process Evidence

None applicable.









1 How do you progress valid claims which can be substantiated?


2 How do you conduct negotiations with the people involved in the

contract? (application) (e) [2]

3 How do you ensure claims are accurately calculated and

appropriately structured from relevant and verified information

sources? (application) (b) [1,3]

4 How do you assess the basis of claims and criteria for recovery

against the contract by seeking relevant expert opinion?

(analysis) (a) [1,2,3]

5 How and why do you identify the liability for the cost of re-work

and additional work, agree the liability with the people involved

in the contract and agree the rates and quantities to meet

organisational and contractual requirements? (evaluation) (c) [2]

6 How and why do you negotiate amendments to claims with the

people involved in the contract? (synthesis) (d) [1,2]

7 How and why do you agree amendments to the claim with the

people involved in the contract? (synthesis) (d) [1,2]

8 How do you record, reference and store documents, back-up

information and calculations? (application) (f) [3]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 3a 3b






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O13 (F07W 04) Manage Disputes


CCM5/O13.1 Evaluate implications for the resolution of disputes

CCM5/O13.2 Evaluate information relevant to a dispute

CCM5/O13.3 Negotiate and progress the resolution of a dispute

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for managing disputes on projects. A ‘dispute’ in this Unit is a disagreement that may or may

not be settled without external assistance. It could involve preparation for adjudication, arbitration or legal action.

Element 13.1 covers evaluating the information surrounding a dispute, taking expert advice, and deciding how to proceed.

Element 13.2 deals with assessing the key aspects of a dispute, and recommending the best strategies for further action.

Element 13.3 covers managing the dispute process and leading the negotiations towards a settlement.

Evidence from examples of alternative dispute resolution could be valuable.



Element O13.1 Evaluate implications for the resolution of disputes


This involves:

(a) summarising the type and nature of the dispute and its legal

context

(b) assessing the strengths and weaknesses of the case and making a

judgment about the potential outcomes

(c) identifying what expertise and support will be needed at

different stages of the dispute

(d) assessing the implications of proceeding with the case

(e) identifying potential options for settling the dispute which are

based on relevant information and accurate assessments

(f) identifying potential responses to the options for settling the

dispute and assessing the risks involved

(g) recommending a process for settling the dispute which is likely

to be acceptable to all the people involved and which meets legal

requirements

(h) specifying, clearly, the process for settling the dispute which

has been agreed and preparing written terms and conditions

Range

1 Dispute — types:

(a) land

(b) property

(c) construction

(d) contracts

(e) agreements

(f) third party claims

2 Expertise and support in:

(a) surveying

(b) valuation

(c) town planning

(d) environmental health

(e) environmental management

(f ) legal

(g) financial

(h) design

(i) technical

3 Options and processes for settling the dispute:

(a) re-negotiation

(b) negotiations at higher levels of authority

(c) mediation, adjudication and arbitration

(d) formal dispute resolution

(e) legal action







the Element.



which they apply.

Product Evidence








1 Assessment(s) of the type and nature and the strengths and

weaknesses of the case, the expert support needed and the

implications of proceeding. (a,b,c,d) [1,2]

2 Record(s) of assessments of options for settling dispute(s). (e,f)

[3]

3 Recommendation(s) and specification(s) for the process of

settling dispute(s). (g,h) [1,3]

Evidence Requirements — Performance and Process(cont)


this Element.

Process Evidence

None applicable.









1 How do you summarise the type and nature of the dispute and its

legal context? (application) (a) [1]

2 How and why do you assess the strengths and weaknesses of the

case and implications of proceeding? (analysis) (b,d) [1]

3 How and why do you make a judgement about the potential

outcomes of the case? (evaluation) (b) [1]

4 What do you identify as expertise and support will be needed at

different stages of the dispute? (understanding) (c) [1,2]

5 How and why do you identify potential options for settling the

dispute? (evaluation) (e) [3]

6 How and why do you identify potential responses to, and assess

the risks involved in, the options for settling the dispute?

(evaluation) (f) [3]

7 How and why do you recommend a process for settling the

dispute? (synthesis) (g) [3]

8 How and why do you specify the process for settling the dispute

which has been agreed and then prepare written terms and

conditions? (evaluation) (h) [3]




No Description of

Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 2e 2f 2g 2h 2i 3a 3b 3c 3d 3e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O13.2 Evaluate information relevant to a dispute


This involves:

(a) identifying and collating information which is relevant to the

dispute, within the time limits and identifying potentially

inaccurate information and clarifying it with the people who

produced it

(b) obtaining information about similar cases, identifying key points

and common features and producing an accurate summary

(c) obtaining enough additional information to make a valid

evaluation in instances where the information is incomplete

(d) evaluating all the information which is relevant to the dispute,

identifying information which will support the case and

summarising and justifying it in a reasoned argument

(e) consulting with experts, and providing them with a clear, valid

and accurate summary, in cases where expert interpretation and

judgement is required

(f) assessing the arguments and advice received from experts,

producing justifiable conclusions and recommendations for

further action and passing them to the people involved in the

dispute

(g) disclosing information which is relevant to the dispute only to

people who have a right to see it

Range

1 Information which is relevant to the dispute:

(a) contract documents

(b) correspondence

(c) instructions

(d) contract records

(e) technical reports

(f) witness testimonies

(g) other evidential material

2 Dispute — type:

(a) land

(b) property

(c) construction

(d) contracts

(e) agreements


3 Experts in:

(a) surveying

(b) valuation

(c) town planning

(d) health and safety

(e) environmental management

(f) legal

(g) financial

(h) design

(i) technical







the Element.



which they apply.

Product Evidence








1 Summary(ies) of information obtained, disclosed and evaluated

about the dispute which include key points and common features

with similar cases. (a,b,c,d,g) [1,2]

2 Record(s) of consultation(s) and assessment of the arguments and

the advice received from experts. (e,f,g) [all]



this Element.

Process Evidence

None applicable.









1 What do you identify as information which is relevant to the

dispute and potentially inaccurate information? (understanding)

(a) [1]

2 How do you collate information which is relevant to the

dispute and clarify potentially inaccurate information with the

people who produced it? (application) (a) [1]

3 How do you obtain information about similar cases and produce

an accurate summary of key points and common features?

(application) (b) [1,2]

4 What do you identify as key points and common features of

similar cases? (understanding) (b) [1,2]

5 How do you obtain enough additional information to make a

valid evaluation in instances where the information is

incomplete? (application) (c) [1]

6 How do you disclose information which is relevant to the

dispute? (application) (g) [1]

7 What do you identify as information which will support the case?

(understanding) (d) [1,2]

8 How do you summarise information which will support the case?

(application) (d) [1,2]

9 How and why do you evaluate all the information which is

relevant to the dispute and justify information which will

support the case? (evaluation) (d) [1,2]


10 How do you consult with experts? (application) (e) [3]

11 How do you produce justifiable conclusions and recommendations for

further action and pass them to the people involved in the dispute?

(application) (f) [2,3]

12 How and why do you assess the arguments and the advice received

from experts? (analysis) (f) [2,3]

13 How and why do you provide experts with a clear, valid and accurate

summary? (synthesis) (e) [all]




Range

No Description of

Evidence 1a 1b 1c 1d 1e 1f 1g 2a 2b 2c 2d 2e 2f 3a 3b 3c 3d 3e 3f 3g 3h 3i






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O13.3 Negotiate and progress the resolution of a dispute


This involves:

(a) preparing documents about the dispute which have a clear

rationale and which include relevant supporting information

(b) keeping regular contact with the people involved in the dispute

and investigating and proposing options and processes for

settling the dispute, which are likely to be acceptable to them

(c) reviewing reactions and proposals from other parties and

recommending responses

(d) asking questions to test the consistency and resilience of the

opposite party’s position and to probe for possible movement

(e) summarising and recording points of agreement and disagreement

(f) recommending acceptance of offers which are judged to be the

best available

(g) drafting formal acceptance letters accurately and in a suitable

style and sending them promptly to all parties

(h) suggesting realistic options and processes for settling the

dispute when offers are not acceptable and assessing the

advantages and disadvantages of each alternative

Range

1 Dispute — types:

(a) land

(b) property

(c) construction

(d) contracts

(e) agreements


2 Options and processes for settling the dispute:

(a) re-negotiation

(b) negotiations at higher levels of authority

(c) mediation, adjudication and arbitration

(d) formal dispute resolution

(e) legal action

3 Reactions and proposals:

(a) positive

(b) negative

4 Responses:

(a) accepting

(b) rejecting

(c) clarifying

(d) providing additional information







the Element.



which they apply.

Product Evidence








1 Document(s) about the dispute which have been prepared. (a) [1]

2 Record(s) of negotiations which include proposed options and

processes for settling the dispute, reactions and proposals,

recommended responses, questions and summaries, and

recommendation(s) for acceptance of offers. (b,c,d,e,f) [all]

3 Formal acceptance letters. (g) [4]

4 Record(s) of suggestions for options and processes for settling the

dispute. (h) [2,3,4]



this Element.

Process Evidence

None applicable.









1 How do you prepare documents about the dispute? (application)

(a) [1]

2 How do you keep regular contact with the people involved in the

dispute? (application) (b) [1]

3 How and why do you investigate options and processes for

settling the dispute? (analysis) (b) [1,2]

4 How and why do you propose options and processes for settling

the dispute? (synthesis) (b) [1,2]

5 How do you ask questions to test the consistency and resilience of

the opposite party’s position and to probe for possible movement?

(application) (d) [all]

6 How and why do you assess the advantages and disadvantages of

each alternative? (analysis) (h) [2]

7 How and why do you suggest realistic options and processes for

settling the dispute when offers are not acceptable? (synthesis)

(h) [2]

8 How and why do you review reactions and proposals from

opposite parties? (analysis) (c) [3]

9 How do you summarise and record points of agreement and

disagreement? (application) (e) [3,4]

10 How and why do you recommend responses to reactions and

proposals from other parties? (synthesis) (c) [3,4]


11 How and why do you recommend acceptance of offers which are

judged to be the best available? (synthesis) (f) [2,3,4]

12 How and why do you draft formal acceptance letters? (evaluation) (g)

[4]

13 How do you send formal acceptance letter all parties? (application)

(g) [4]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 2e 3a 3b 4a 4b 4c 4d






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O14 (F085 04) Manage Project Handover and Evaluate Feedback


CCM5/O14.1 Manage project handover

CCM5/O14.2 Obtain and evaluate project feedback information and make improvements

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for managing the project handover and evaluating feedback from the project so that

improvements can be made in future.

Element 14.1 is about managing the commissioning process, ensuring the completion of the works, and ensuring the satisfaction of the stakeholders.

Element 14.2 is about gathering feedback from the project, evaluating it, and planning for future improvements. This can be done throughout the progress of a

project, and not just at the handover stage.



Element O14.1 Manage project handover


This involves:

(a) confirming project requirements, consulting with stakeholders

and developing and agreeing a commissioning programme

(b) ensuring that project requirements have been met and recording

any outstanding work and defects

(c) ensuring inspections, tests and certification are carried out that

they are witnessed by stakeholders as required

(d) ensuring the satisfactory completion of any outstanding work and

defects

(e) arranging a handover inspection involving all relevant

stakeholders, confirming any stakeholder concerns that need to

be addressed, and recording and agreeing any required actions

(f) checking that stakeholders respective responsibilities are

adopted

(g) assembling and handing over operational documentation,

equipment and services in accordance with the contract

Range

1 Project requirements:

(a) time

(b) quality

(c) cost


(e) regulations

(f) defects liability period

2 Stakeholders:

(a) clients

(b) users

(c) consultants

(d) contractors

(e) regulatory authorities

3 Responsibilities:

(a) insurances

(b) security

(c) operations


(e) utility supply

4 Operational documentation, equipment and

services:

(a) manuals and guidance materials

(b) plans

(c) health and safety files

(d) operating equipment

(e) security information and equipment

(f) certificates

(g) services







the Element.



which they apply.

Product Evidence








1 Commissioning programmes. (a) [1,2]

2 Record(s) of checks on project requirements, inspections, tests

and certification, and completion of any outstanding work and

defects. (b,c,d) [1,2]

3 Record(s) of handover which include inspections, confirmed

concerns and any required actions, adopted responsibilities,

documentation, equipment and services. (e,f,g) [2,3,4]



this Element.

Process Evidence

None applicable.









1 How do you confirm project requirements and consult with

stakeholders? (application) (a) [1,2]

2 How do you ensure that project requirements have been met

and record any outstanding work and defects? (application) (b)

[1]

3 How do you ensure the satisfactory completion of any

outstanding work and defects? (application) (d) [1]

4 How and why do you develop a commissioning programme?

(synthesis) (a) [1,2]

5 How and why do you agree a commissioning programme?

(evaluation) (a) [1,2]

6 How do you ensure inspections, tests and certification are carried

out and ensure that they are witnessed by stakeholders as

required? (application) (c) [2]

7 How do you arrange a handover inspection involving all relevant

stakeholders, confirming any stakeholder concerns that need to

be addressed and recording any required actions? (application) (e)

[2]

8 How and why do you agree any required actions? (evaluation) (e)

[2]

9 How do you check that stakeholders respective responsibilities

are adopted and assemble and hand over operational

documentation, equipment and services? (application) (f,g)

[2,3,4]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 2e 3a 3b 3c 3d 3e 4a 4b 4c 4d 4e 4f 4g






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O14.2 Obtain and evaluate project feedback information and make improvements


This involves:

(a) promoting the value of making improvements from feedback

and encouraging all those involved in the project to cooperate

and obtain feedback information

(b) identifying and agreeing the areas upon which to focus for

making improvements from feedback

(c) obtaining, investigating and assessing feedback information

from all relevant sources and methods

(d) reviewing the feedback information, matching it against the

original requirements and objectives and summarising both

positive and negative factors

(e) recommending improvements from feedback received and

justifying the recommendations to decision makers

Range

1 Information which is relevant to the dispute:

(a) management procedures

(b) client, design and construction team performance

(c) working arrangements

(d) formal and informal communications

(e) quality control

(f) design and technical appraisal

(g) operational appraisal

(h) performance in use

(i) benchmarking

(j) post project review

2 Those involved with the project:

(a) the design team

(b) specialist consultants

(c) the client

(d) contractors

(e) users

3 Feedback information:

(a) approved providers

(b) project documentation

(c) organisational documentation

(d) product information

4 Sources and methods:

(a) project records and documentation

(b) site inspections

(c) studies of performance in use

(d) meetings

(e) questionnaires

(f) reports







the Element.



which they apply.

Product Evidence








1 Record(s) of the promotion of the value of making improvements

from feedback, and identified and agreed areas upon which to

focus for making improvements. (a,b) [1,2,3,4]

2 Record(s) of obtained feedback information which includes

investigations, assessments, reviews and summary

recommendations for improvements. (a,c,d,e) [3,4]



this Element.

Process Evidence

None applicable.









1 How do you encourage all those involved in the project to

cooperate and obtain feedback information? (application) (a)

[2,3]

2 How and why do you promote the value of making

improvements from feedback? (synthesis) (a) [1,2]

3 How and why do you recommend improvements from feedback

received to decision makers? (synthesis) (e)[1]

4 How and why do you identify and agree the areas upon which to

focus for making improvements from feedback? (evaluation)

(b) [1]

5 How and why do you justify the recommendations to decision

makers? (evaluation) (e) [1]

6 How do you summarise both positive and negative factors from

the feedback information? (application) (d) [3]

7 How and why do you review the feedback information?

(analysis) (d) [3]

8 How and why do you match feedback information against the

original requirements and objectives? (synthesis) (d) [3]

9 How do you obtain feedback information from all relevant

sources and methods? (application) (c) [3,4]

10 How and why do you investigate and assess feedback

information from all relevant sources and methods? (analysis)

(c) [3,4]




Range

No Description of

Evidence 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 2a 2b 2c 2d 2e 3a 3b 3c 3d 4a 4b 4c 4d 4e 4f






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O15 (F083 04) Manage Organisational Development


CCM5/O15.1 Plan the development of new products and processes

CCM5/O15.2 Develop and maintain a policy to maximise client and customer satisfaction

CCM5/O15.3 Establish and maintain a marketing strategy and corporate image

Unit Summary

This Optional Unit covers the candidate’s key responsibilities for quality management. This includes leading the development of new products and processes,

managing policies for good client relations, and managing marketing policies and strategies. This Unit is consistent with current best practice in quality

management and benchmarks for business improvement. The Unit builds on core Elements C03.1 and C05.4.

Element 15.1 is about evaluating existing products and processes, creating improvements, and testing them.

Element 15.2 is about developing effective policies and strategies for ensuring good relationships with clients and customers.

Element 15.3 covers the improvement of corporate image, identifying new business opportunities, developing marketing and promotional strategies and

monitoring their effectiveness.



Element O15.1 Plan the development of new products and processes


This involves:

(a) identifying appropriate and realistic market areas for the

organisation and summarising the information accurately

(b) identifying operational and contextual constraints and realistic

objectives for the development of new and existing products and

processes (c) evaluating the strengths and weaknesses of existing processes

and whether they are suitable for producing the required products

and processes

(d) analysing available data and information and identifying needs

and requirements for operational change and development, and

proposing new potential alternative users and markets for new

products and processes

(e) estimating, accurately, what funding and resources will be needed

for development and the added value which will be obtained

(f) commissioning suitable projects to specify and test new and

improved products and processes which will achieve the

identified operational needs

(g) identifying and implementing valid and realistic development

programmes which will maximise added value

Range

1 Operational constraints:

(a) site locations

(b) natural environment

(c) availability of competent people

(d) transportation

(e) infrastructure

(f) market conditions

2 Contextual constraints:

(a) social

(b) political

(c) cultural

(d) financial

(e) economic

(f) environmental

(g) legal and statutory

3 Strengths and weaknesses:

(a) market share

(b) scope of products and services

(c) availability of resources

(d) working practices

(e) productivity

(f) profitability and cost factors

(g) corporate values


(i) socio-econometric factors

(j) ability to innovate

(k) efficiency of systems (including Information Technology)

(l) waste reduction




Range (cont)

4 Products:

(a) raw materials

(b) manufactured materials

(c) components

(d) systems

5 Processes:

(a) design services

(b) advisory services

(c) management services

(d) production systems

(e) control systems

(f) information systems

6 Analysing:

(a) feasibility studies

(b) strengths, weaknesses, opportunities and threats analyses

(c) against industry performance benchmarks

7 Data and information — sources:

(a) professional journals and publications

(b) data from within the built environment

(c) information from other industries






they apply.

Product Evidence








1 Record(s) of identified markets for the organisation and needs and

requirements for operational change which include: identified

operational constraints and realistic objectives for the development of

new and existing products and processes, evaluated strengths and

weaknesses of existing processes, analysed data and information,

estimates of funding and resource needs. (a,b,c,d,e) [all]

2 Record(s) of projects commissioned, and programmes implemented,

which will achieve the identified operational needs and maximise

added value. (f,g) [4,5]






for this Element.

Process Evidence

None applicable.









1 What do you identify as appropriate and realistic market areas for

the organisation? (understanding) (a) [all]

2 How do you summarise information about appropriate and

realistic market areas for the organisation? (understanding) (a)

[all]

3 What do you identify as operational and contextual constraints

and realistic objectives for the development of new and existing

products and processes? (understanding) (b) [1,2]

4 How and why do you evaluate the strengths and weaknesses of

existing processes and whether they are suitable for achieving the

required products and processes? (evaluation) (c) [3,4]

5 What do you identify as valid and realistic development

programmes which will maximise added value? (understanding)

(g) [4,5]

6 How do you implement valid and realistic development

programmes which will maximise added value? (application) (g)

[4,5]

7 How and why do you estimate what funding and resources will be

needed for development and the added value which will be

obtained? (analysis) (e) [2]

8 How and why do you commission suitable projects to specify and

test new and improved products and processes? (evaluation) (f)

[4,5]


9 What do you identify as needs and requirements for operational

change and development? (understanding) (d) [4,5,6]

10 How and why do you analyse available data and information?

(analysis) (d) [4,5,6,7]

11 How and why do you propose new potential alternative users and

markets for new products and processes? (synthesis) (d) [4,5,6]




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 2a 2b 2c 2d 2e 2f 2g 3a 3b 3c 3d 3e 3f 3g 3h 3i




Range (cont)

No Description of Evidence 3j 3k 3l 4a 4b 4c 4d 5a 5b 5c 5d 5e 5f 6a 6b 6c 7a 7b 7c






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O15.2 Develop and maintain a policy to maximise client and customer satisfaction


This involves:

(a) summarising and analysing appropriate market research and

assessing realistically the type and quality of services which

clients and customers will need

(b) developing a clear and realistic client and customer care service

policy, justifying it and agreeing it with decision makers

(c) developing a code of conduct for a client and customer care

service which summarises the organisation's agreed policy and

circulating it to all the workforce

(d) developing and introducing systems for obtaining client and

customer feedback and monitoring them regularly for both

positive and negative feedback

(e) summarising positive client and customer feedback and

circulating it to decision makers

(f) summarising and investigating negative client and customer

feedback, responding to individual complaints promptly and

resolving cases

(g) producing regular summaries of client and customer complaints,

the action taken and recommendations for future action and

circulating the summaries to decision makers

Range

1 Clients and customers:

(a) individuals

(b) external organisations

(c) departments or teams

2 Client and customer care service:

(a) quality

(b) timescales

(c) cost

(d) communication and involvement in decision making

(e) conduct

(f) pre-contract

(g) post-contract

(h) after care

3 Code of conduct:

(a) relationships with clients

(b) statutory rights and the organisational response

(c) operational expectations and performance

(d) policy about business ethics and practice

(e) environmental and sustainability concerns







the Element.



which they apply.

Product Evidence








1 Developed, justified and agreed client and customer care service

policy(ies) which include an analysis of market research, a code

of conduct, and systems for obtaining and maintaining customer

feedback. (a,b,c,d) [all]

2 Record(s) of the operation of client and customer care service

systems which include summaries of feedback, responses to

complaints and recommendations for future action circulated.

(d,e,f,g) [1,2]



this Element.

Process Evidence

None applicable.









1 How do you summarise appropriate market research?


2 How and why do you analyse appropriate market research and

assess the type and quality of services which clients and

customers will need? (analysis) (a) [1]

3 How and why do you develop a policy and a code of conduct for

a client and customer care service? (synthesis) (b,c) [2,3]

4 How and why do you justify and agree a client and customer

care service policy? (evaluation) (b) [2]

5 How do you circulate a code of conduct for a client and

customer care service to all the workforce? (application) (c)

[2,3]

6 How and why do you develop and introduce systems for

obtaining client and customer feedback? (synthesis) (d) [1]

7 How and why do you monitor systems for obtaining client and

customer feedback? (analysis) (d) [1]

8 How do you summarise positive client and customer feedback

and circulate it to decision makers? (application) (e) [1]

9 How do you summarise negative client and customer feedback

and respond to individual complaints? (application) (f) [1,2]

10 How and why do you investigate negative client and customer

feedback and respond to individual complaints? (analysis) (f) [1]


11 How and why do you resolve complaints? (synthesis) (f) [1,2]

12 How do you produce and circulate regular summaries of client and

customer complaints, the action taken and recommendations for

future action? (application) (g) [1,2]




Range

No Description of

Evidence 1a 1b 1c 2a 2b 2c 2d 2e 2f 2g 2h 3a 3b 3c 3d 3e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O15.3 Establish and maintain a marketing strategy and corporate image


This involves:

(a) evaluating the present image and reputation of the

organisation with the target audience and identifying the

potential client base

(b) developing and agreeing a corporate image which reflects the

function and purpose of the organisation

(c) developing an information gathering system to support the

development of marketing and promotion strategies

(d) identifying potential new business opportunities and passing

the information on to decision makers

(e) researching and identifying factors which will influence the target

audience

(f) evaluating marketing and promotion options and developing a

clear and relevant strategy which could make a significant impact

on the target audience

(g) choosing methods, media and techniques for the marketing and

promotion of the organisation which are consistent with the

corporate image

(h) negotiating, agreeing and implementing a programme and budget

to deliver the agreed marketing and promotion strategy

(i) circulating marketing and promotion material to people who

will have an interest

(j) monitoring the marketing and promotion strategy regularly,

reviewing the impact and making modifications which will

improve market presence and penetration

Range

1 Present image and reputation of the organisation:

(a) market share

(b) scope of products and services

(c) availability of resources

(d) working practices

(e) productivity

(f) profitability and cost factors

(g) corporate values


(i) socio-econometric factors

2 Information gathering system:

(a) organisation sources

(b) external sources

(c) customer feedback

(d) specialists

(e) market research

3 Marketing and promotion:

(a) branding

(b) sponsorship

(c) publications

(d) samples

(e) relation with press and media

(f) advertising policies

(g) direct and indirect client and customer relations

(h) presentations

(i) e-commerce




Range (cont)

4 Potential new business opportunities:

(a) products and services

(b) developments and projects

(c) customers and markets

5 Monitoring — criteria:

(a) market share

(b) levels of resource allocation

(c) profitability

(d) reputation

(e) image







the Element.



which they apply.

Product Evidence








1 Record(s) of an agreed corporate image which includes

evaluation(s) of the image and reputation of the organisation.

(a,b) [1]

2 Record(s) of information gathering system(s) which include

identification of new business opportunities and factors which

will influence the target audience. (c,d,e) [2,3,4]

3 Marketing and promotional strategy(ies) which include evaluated

options, chosen methods, media and techniques, programme and

budget. (f,g,h,i) [3]


4 Review(s) of the impact of the marketing and promotion strategy

including modifications. (j) [3,5]


this Element.

Process Evidence

None applicable.









1 What do you identify as the potential client base? (understanding)

(a) [1]

2 What do you identify as factors which will influence the target

audience? (understanding) (e) [1]

3 How do you develop a corporate image which reflects the

function and purpose of the organisation? (synthesis) (b) [1]

4 How do you evaluate the present image and reputation of the

organisation with the target audience? (evaluation) (a) [1]

5 How do you agree a corporate image which reflects the function

and purpose of the organisation? (evaluation) (b) [1]

6 How do you research factors which will influence the target

audience? (analysis) (e) [2]

7 How do you implement a programme and budget to deliver the

agreed marketing and promotion strategy? (application) (h) [3]

8 How do you circulate marketing and promotion material to

people who will have an interest? (application) (i) [3]

9 How do you make modifications to the marketing and

promotion strategy which will improve market presence and

penetration? (application) (j) [3]

10 How do you develop an information gathering system to

support the development of marketing and promotion

strategies? (synthesis) (c) [2,3]


11 How do you develop a clear and relevant marketing and promotion

strategy? (synthesis) (f) [3]

12 How do you negotiate a programme and budget to deliver the agreed

marketing and promotion strategy? (synthesis) (h) [3]

13 How do you evaluate marketing and promotion options?

(evaluation) (f) [3]

14 How do you choose methods, media and techniques for the

marketing and promotion of the organisation? (evaluation) (g) [3]

15 How do you agree a programme and budget to deliver the agreed

marketing and promotion strategy? (evaluation) (h) [3]

16 What do you identify as potential new business opportunities?


17 How do you pass on information about potential new business

opportunities to decision makers? (application) (d) [4]

18 How do you monitor and review the impact of the marketing and

promotion strategy? (analysis) (j) [3,5]





No Description of Evidence a b c d e f g h i j




Range

No Description of Evidence 1a 1b 1c 1d 1e 1f 1g 1h 1i 2a 2b 2c 2d 2e 3a 3b




Range (cont)

No Description of Evidence 3c 3d 3e 3f 3g 3h 3i 4a 4b 4c 5a 5b 5c 5d 5e






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


UNIT CCM5/O16 (F07Y 04) Manage Finance for the Business


CCM5/O16.1 Produce an up-to-date plan for the business

CCM5/O16.2 Decide on the financial plan for the business

CCM5/O16.3 Agree terms and conditions for the finance

Unit Summary

This Optional Unit is relevant to senior executive offices in smaller construction firms. The Unit covers the key responsibilities for managing the financial

aspects of a smaller business. In the context of this Unit a business could mean a whole business or a business unit.

This Unit is imported, and therefore in a different format to others.

Unit 16.1 covers the preparation of your business plan. This includes setting targets for design production, quality and service; deciding on administrative

systems; and working within a legal framework.

Unit 16.2 is about setting financial targets, deciding on financial management systems, and identifying where your funding is coming from.

Unit 16.3 deals with finalising your borrowing and financing plans, and agreeing the terms and conditions with your fund holder.



Element O16.1 Produce an up-to-date plan for the business


This involves:

(a) preparing plans by using appropriate sources of advice when you

need to

(b) using relevant information to set targets and make forecasts for

marketing and sales

(c) deciding when financial management systems and forecasts will

best help you reaching your targets

(d) setting targets for design, productivity, quality and service that

meet customer needs

(e) deciding the roles and responsibilities of the people involved in

the business by taking account of their skills and interests

(f) deciding which systems to use to handle information and

administration

(g) setting a framework in place that allows you to monitor the

performance of the business against the new plan

(h) making sure you obey all the laws and regulations that apply to

the business and planning how to keep up-to-date with any new

laws and regulations

(i) discussing and confirming the new business plan with everyone

concerned with the business and making sure that they all

understand it


Product Evidence

1 Mission statements.

2 Financial statements and records.

3 The opinions of any advisers and funders.

4 Your bank, funders and shareholders.

5 A profile of the products or services you provide.

6 Records about production or providing services.

7 Copies of contracts you have with contractors.

8 Copies of relevant health and safety regulations and notices.

9 Organisational charts, recruitment and training policy statements and

analyses of training needs.

10 Any staff records and procedures.


this Element.

Process Evidence

None applicable.





1 What free and paid-for information is available?

2 What you need to review a business plan?

3 How to make plans that are practical and useful and help you

achieve what you want to?

4 Who the business plan is for, and what use they will make of it?

5 How to set objectives?

6 What laws and regulations need to be met and how to find out

about any new laws and regulation?






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O16.2 Decide on the financial plan for the business


This involves:

(a) setting financial targets that match the business aims

(b) developing contingency plans

(c) accurately estimating the financial state of the business

(d) using appropriate sources of advice when planning the finances of

the business

(e) deciding what financial management systems to use in the

business

(f) identifying and investigating different ways of getting finance

(g) assessing how the financial plan will affect the business

(h) preparing a clear financial plan and using it when you plan other

parts of the business


Product Evidence

1 A business plan and performance measures.

2 Profit and loss statements.

3 Balance sheet forecasts.

4 Cash flow forecasts.

5 Income and spending forecasts.

6 Budgets.

7 Financial statements and records.

8 Any financial reports on the business prepared by professional

advisors.

9 Copies of contracts between the business and its customers, suppliers

and finance providers.

10 Copies of correspondence about investments.

Process Evidence

None applicable.





1 What financial targets are important to the business?

2 How to measure the financial state of the business by examining

profits, cash flow, assets and liabilities?

3 Who can provide financial advice on a business?

4 What manual or computer-based financial management systems

are appropriate?

5 What sources of information are available?

6 The different ways of getting finance?

7 How to assess the impact of financial targets on: productivity;

sales and non-sales revenue; costs and spending?

8 How to work out the most important ratios that measure how

successful different parts of the business are?

9 What a financial plan should consist of. This might include: an

assessment of the financial state of the business and the financial;

a cash flow, profit and loss statements and forecasts; a balance

sheet; information about the control systems and performance

measures to be used; the break even point?

10 What your liabilities are under current law?






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:



Element O16.3 Agree terms and conditions for the finance


This involves:

(a) deciding the targets and limits that you can accept

(b) presenting the financial needs of the business to potential finders

in a way that they can understand

(c) accurately assessing the costs and benefits of getting and

servicing the finance on the business

(d) making sure that your plans for the finance can be met within the

agreed timescale

(e) confirming the terms and conditions of the finance in writing

(f) checking that the contracts for the finance are drawn up in line

with legal requirements


Product Evidence

You will need to gather a range of information to be able to get finance for

the business. This should include:

1 bank statements

2 financial statements and statutory returns

3 investment returns

4 cash flow and business forecasts

5 information about finance agreements

6 records of your dealings with finance providers

Process Evidence

None applicable.





1 The targets and limits for agreeing with funders, and how flexible

these should be?

2 How financial needs should be presented to potential funders?

3 How to assess the effect on the business of getting and servicing

the financial agreement?

4 How to agree terms and conditions?

5 How to record what you have agreed and make sense of the

arrangements and agreements written by funders?

6 Why it is important to seek expert legal and financial advice

before signing contract?






Notes/Comments


Candidate:

Date:

Assessor:

Date:

Internal Verifier:

Date:


Section 4 — Blank recording forms

This section consists of the blank forms referred to in Section 2 for you to photocopy. You may find

these useful when compiling your portfolio.


Portfolio title page Your name: Job title: Name of Employer/ Training Provider/ College: Their address: Tel no: SVQ: level: Units submitted for assessment: Mentor: (Please provide details of Mentor’s experience) Assessor: Date:


Personal profile

Name

Address

Postcode

Tel no Home: Work:

Job title

Relevant experience

Description of your current job

Previous work experience

Qualifications and training

Continued overleaf ….


Qualifications and Training (continued)

Voluntary work/interests

Name of Employer/Training Provider/College

Address

Postcode

Tel no

Type of Business

Number of Staff

Structure of organisation (include chart or diagram if

available)


Contents checklist

You might also find it useful to complete the following checklist as you work your way through your

portfolio. This will help you to see if you have included all the relevant items. Once you have

completed your portfolio, you will be able to use this checklist again as a contents page, by inserting

the relevant page or section numbers in the right hand column.

Completed? Page/Section

number

Title page for the portfolio

Personal profile

your own personal details

a brief CV or career profile

description of your job

information about your employer/training provider/

college

Unit Assessment Plans

Unit progress record

Completed Element Achievement Records for each Unit

signed by yourself, your assessor and the internal

verifier (where relevant)

Evidence reference numbers included

Index of evidence (with cross-referencing information

completed)

Evidence (with reference numbers)

observation records

details of witnesses (witness testimony sheets)

personal statements

products of performance


Index of evidence

SVQ title and level:

Evidence

number Description of evidence

Included in portfolio

(Yes/No)

If no, state location

Sampled by the IV

(initials and date)


Personal statement

Date Evidence

index

number

Details of statement Links to other

evidence

(enter numbers)

Units, elements,

pcs, and range

covered

Candidate signature: Date:


Observation record

Unit/Element(s):

Candidate: Date of observation:

Evidence index number:

Skills/activities observed: PCs and range covered:

Knowledge and understanding apparent from this observation:

Other Units/elements to which this evidence may contribute:

Assessor comments and feedback to candidate:

I can confirm the candidate’s performance was satisfactory.

Assessor’s signature: Date:

Candidate’s signature: Date:


Witness testimony

SVQ title and level:

Candidate name:

Evidence index no:

Where applicable, evidence no. to which this testimony relates: Element(s):

Date of evidence:

Witness name:

Designation/relationship to

candidate:

Details of testimony:

I can confirm the candidate’s evidence is authentic and accurate.

Witness signature: Name:

Date:

Please tick the appropriate box:

A1/A2 or D32/D33 Award

Familiar with the SVQ standards to which the candidate is working


Record of questions and candidate’s answers

Unit: Element(s):

Evidence index number:

Circumstances of assessment:

List of questions and candidate’s responses:

Q:

A:

Q:

A:

Q:

A:

Q:

A:

Q:

A:

Assessor’s signature: Date:

Candidate’s signature Date:



Portfolio:

We hope this portfolio was appropriate to your needs. We welcome feedback on our products and

services. If you have any comments on this document, please use this form to let us know about them.

Thank you.

Comments

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The Optima Building Organisation:

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Glasgow G2 8DQ

SVQ in Construction Management level 5 - SQA · SVQ in Construction Management level 5 Award Code:...

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